This webinar kicked-off a series of webinars that RIA Compliance Consultants will present over the next year to help registered investment advisers understand the process of performing annual assessments of their written supervisory policies and procedures required by Rule 206(4)-7 under the Investment Advisers Act of 1940. RIA Compliance Consultants will host a series of webinars that will provide a more in-depth look at what investment advisers should consider as they are performing an assessment of their compliance program. We will provide specific examples of the areas that should be assessed, questions that the firm should be asking itself and its employees as part of the review process, and testing that should be performed as part of the assessment process. Both newly registered investment advisers and firms that have been registered for some time can benefit from participating in these webinars since we will address not only the requirements under the Investment Advisers Act of 1940 but also an investment adviser’s ongoing obligations as it relates to these requirements. Investment advisers can benefit from participating in the entire series of webinars or by choosing only those individual webinars that they feel will be most beneficial to their firm. During this first webinar, RIA Compliance Consultants discusses the requirements of Rule 206(4)-7. We then provide an overview of what it means to perform an assessment, the purpose for performing one, and the actions and parties that should be involved in the assessment process. We also provide tips for conducting the review and documenting the findings and corrective actions.
Date Recorded: February 26, 2015
Time: 64 minutes
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Although the sponsor of this presentation, 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 presentation is offered for educational purposes only and should not be considered an engagement with Presenter or Sponsor. This presentation should not be considered a comprehensive review or analysis of the topics discussed today. These 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.
Despite efforts to be accurate and current, this presentation may contain out-of-date information. Additionally, Presenter and Sponsor will not be under an obligation to advise you of any subsequent changes.
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Information provide during this presentation relates solely to the Investment Advisers Act of 1940 and the rules thereunder and, at times, we may reference similar state securities rules and regulations specific to registration as an investment adviser. Certain circumstances or arrangements you may have may warrant you to consider other regulations that may apply including, but not limited to: the Investment Company Act of 1940; the Securities Act of 1933; the Securities Exchange Act of 1934; ERISA and other Department of Labor regulations; federal or state laws and regulations and self-regulatory (e.g., FINRA) rules for broker-dealers and registered representatives/securities agents of broker-dealers; and state insurance rules and regulations. The Sponsor of this presentation does not provide any advice or consulting services outside the scope of the Investment Advisers Act of 1940 or similar investment adviser state securities rules and regulations. If you need advice regarding any other rules or regulations, the Sponsor recommends that you consult with an attorney or consultant that specializes in those specific rules or regulations.
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