RIA Year-End Compliance Check-up


Course Description:

This timely course gives you the opportunity to review, identify and discuss investment adviser compliance action items that should be part of the compliance officer’s year-end checklist. To help review the current year and plan for the future, instructors will walk you through key compliance resolutions for the year ahead. Essential to this process is proactively developing your firm’s unique, compliance calendar for the coming year with the purpose of prioritizing, executing and documenting your firm’s supervisory procedures and compliance program. The imminent turning of the calendar presents an excellent opportunity to map out monthly, quarterly, annual and other periodic compliance tasks, which include:

  • Current DOL fiduciary rule status
  • IARD administrative functions
  • Form 13F reports
  • 13 D, 13G and/or 13H review
  • Form PF updates (if applicable)
  • Form U4 amendments
  • Employee certifications and acknowledgements
  • Solicitors
  • Records management
  • Compliance training
  • Action plan for annual review
  • Political contributions
  • Custody
  • Code of ethics enforcement
  • Data protection and cybersecurity
  • Advertising reviews
  • Form ADV reviews and amendments
  • Regulatory assets under management (RAUM)
  • Soft dollar allocation review
  • Updating IPS or client investment objectives and risk tolerances
  • Testing of disaster recovery plan
  • Third-party service providers
  • Risk assessment including cybersecurity and Regulation S-ID

These and other compliance resolutions for 2017 and 2018 will be up for discussion during this practical nuts-and-bolts program.

Learning Objectives:

After attending this course you will be able to:

  • Examine your compliance checklist to confirm the presence of necessary compliance action steps and identify additional items that might affect your firm
  • Create a proactive compliance calendar to help achieve a strong and effective compliance program
  • Identify and include the latest regulatory developments in your 2018 compliance calendar

For whom: Designed to increase the professional competence of investment adviser compliance professionals with legal, compliance, operations, technology, administrative and management responsibilities.

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based

Pre-requisites for participation: No prerequisites are required.

Advance Preparation: None

Continuing Education Credits:

See NRS Continuing Education Guide
Maximum recommended CPE Credit: 2 in the Regulatory Ethics field of study
Maximum recommended IACCP® CE Credit: 2
Maximum recommended CA MCLE Credit: 2