Mastering Annual Compliance Reviews for Investment Adviser Firms


Live/On-Demand: Live

Date: Thursday, April 25, 2024

Time: 12:00 – 1:00 p.m. U.S. Central Standard Time

Length: 1 Hour



This one-hour course is designed for individuals who are invovled in conducting, assisting and/or reviewing an investment adviser firm’s annual compliance review. Although this course will delve into the recent amendments to SEC Rule 206(4)-7, which mandates written documentation of annual compliance reviews, it will review the applicable requirements for state and federally registered investment advisers while offering insights and best practices for conducting comprehensive reviews to ensure regulatory compliance and mitigate risks effectively.

Course Objectives

  1. Understand the purpose of an annual compliance review, the applicable regulatory requirements, and its significance in the compliance framework of investment adviser firms.
  2. Learn practical strategies and best practices for conducting thorough annual compliance reviews, including documentation procedures.
  3. Gain insights into recent amendments to SEC Rule 206(4)-7 and implications for investment adviser firms.

Who Should Attend?

Owners, Senior Executives, General Counsel & Legal Staff, Chief Compliance Officer & Compliance STaff, and Supervisory PRincipals of Investment Adviser Firms


  • Bryan Hill, Founder & President of RIA Compliance Consultants, Inc.
  • Jarrod James, Senior Vice President of RIA Compliance Consultants, Inc.

Course Delivery

This course will be delivered remotely in a live format and thereafter will be available as a recording. Participants will have the opportunity to ask questions of our instructors.

Level of Difficulty





We intend to submit this course to NASAA to provide one hour of IAR CE credit in the Ethics & Professional Responsibility category. However, at this time this course has been neither submitted nor approved by NASAA. If the course is approved, in order to receive this credit, after viewing the entire presentation (live or recorded), a participant will need to sign up for the associated follow-up materials on our IAR CE platform, These follow-up materials include: providing a code as proof of attendance; completion of an evaluation of our course and instructor(s); and successfully passing (scoring 70% or higher) an assessment. Once these steps have been successfully, the participant will receive a certificate of completion and we will submit record of your completion to NASAA.

NASAA Disclaimer

NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.

Important Disclosure

Please carefully review the following disclosures and limitations of this course.

  • Although the sponsor of this course, RIA Compliance Consultants, Inc. (“Sponsor”), is an affiliate of a law firm and Sponsor may have an individual on its staff that is also licensed as an attorney providing legal services in a completely separate capacity, Sponsor is not a law firm and does not provide legal services or legal advice. A consulting relationship with Sponsor does not provide the same protections as an attorney-client relationship.
  • This course is offered for educational purposes only and should not be considered an engagement with the course instructor or Sponsor. This presentation should not be considered a comprehensive review or analysis of the topics discussed today. To these educational materials are not a substitute for consulting with an attorney or compliance consultant in a one-on-one context whereby all the facts of your situation can be considered in their entirety.
  • Information provided during this course is provided “as is” without warranty of any kind, either express or implied, including, without limitation, warranties and merchantability, fitness for a particular purpose, or non-infringement. The course instructor and Sponsor assume no liability or responsibility for any errors or omissions in the content of the presentation.
  • To the extent that this course description or the course itself includes reference to a pending enforcement action or a consent order, please understand that the course instructor and Sponsor have not not verified the accuracy of the securities regulator’s complaint, order or other statements, and the course instructor and Sponsor are not offering any opinion whether the allegations made by the securities regulator in such enforcement action are accurate.
  • The course instructor and Sponsor are not be under an obligation to advise you of any regulatory developments or subsequent changes to educational material presented in this course.
  • There is no guarantee or promise that concepts, opinions and/or best practices discussed in this course will be favorably received by a regulator or result in a certain outcome in adversarial proceeding.
  • Communication with the course instructor is not protected from discovery by third-parties during litigation or regulatory proceedings. Please keep questions during this course in a hypothetical form.
  • Reviewing the slides and/or attending this course does not create a consulting engagement with RIA Compliance Consultants, Inc.


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