Developing and Implementing an Effective Customized Compliance Programs

September 19, 2013

RIA Compliance Consultants is hosting a webinar during which we will provide an overview of the requirement for an investment adviser to develop written supervisory policies and procedures in accordance with Rule 206(4)-7 under the Investment Advisers Act of 1940 (“Investment Advisers Act”). Under this rule U.S. Securities and Exchange Commission (“SEC”) registered investment advisers are required to adopt and implement written policies and procedures reasonably designed to prevent violations of the Investment Advisers Act and the rules that the SEC has adopted under the Act. Most state securities regulations have similar requirements. During this webinar, RIA Compliance Consultants will:

  • Provide an overview of the requirements under Rule 206(4)-7
  • Discuss the importance of developing and maintaining a customized compliance program
  • Look at the process for developing a customized compliance program in accordance with an investment adviser’s business model
  • Expand on the value of ongoing compliance monitoring and testing
  • Discuss the importance of the annual review process
  • Discuss the need to ensure all supervised persons understand and comply with the firm’s customized policies and procedures in efforts to promote a strong culture of compliance

For more information on or to register for our webinar, ”Developing and Implementing an Effective Customized Compliance Program,” hosted on Thursday, October 3, 2013, at 12:00 p.m. CDT, click here.

Posted by Bryan Hill
Labels: Annual Review, Compliance Program, Compliance Training, Written Policies and Procedures