05/09/2010
This is a sample list of documents you may wish to consider for your annual review, from one of your peers.
Indexed by:
2/22/2010
While you must conduct an annual review, how you do it is largely up to you. There are best practices aplenty to help you.Document who conducted the review, when it took place, the locations of the review (e.g., home office, branch locations, etc.) and how it was conducted. "What was your methodolog ...
Indexed by:
02/16/2010
Here are sample questions you can ask during your annual review, courtesy of Karen Huey of Professional Compliance Assistance in Canton, Ga.
Indexed by:
01/25/2010
Click here to download a Word document of an annual review tool for RIA policies and procedures courtesy of Nancy Lininger at The Consortium in Camarillo, Calif.
Indexed by:
1/25/2010
You must engage in an annual review of "the adequacy" of your firm's compliance policies and procedures - but how you get there can vary like the shades of a kaleidoscope. Some firms conduct a risk assessment first. Some RIAs knock out the entire process in two weeks, while others string it across t ...
Indexed by:
12/7/2009
Make iawatch.com your next stop to download a template for designing your annual review. The tool features three areas for the review: 1. Form ADV, Part II disclosure; 2. advertising and 3. client complaints. Your actual annual review would include many more areas but this example lays out one way t ...
Indexed by:
12/01/2009
Here is an example, as a Word document, of how to document part of your annual review, courtesy of Karen Huey, owner of Professional Compliance Assistance in Canton, Ga.
Indexed by:
11/23/2009
Seeking a shortcut to a sound annual review? Assemble your risk assessment, a summary of your forensic tests for the year and a list of what compliance policies and procedures you've changed as a response to the testing.The package "becomes a roadmap for the examiners ... about how the compliance pr ...
Indexed by:
10/26/2009
When your business takes a new turn, use it to spark a new item to bulk up your annual review. For instance, if there's a regulatory change that affects your firm or if your firm takes on a new broker or starts a wrap fee program, these are all topics to plow into your annual review, suggests Mari-A ...
Indexed by:
09/11/2009
A risk matrix tool courtesy of Krista Zipfel, CEO & President of Advisor Solutions Group in Newport Beach, Calif.
Indexed by: