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Investment Adviser

IA’s: 2019 Rule 206(4)-7 Annual Review Due NOW

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SEC Rule 206(4)-7 requires advisers to conduct an Annual Review to determine whether the firm’s policies & procedures are reasonably designed and implemented to prevent violation of federal securities laws (adequacy testing) and are effectively operating to prevent compliance problems, identify problems that occur and promptly correct those issues – achieving the goals as intended (effectiveness testing).

There are several advantages to engaging Compliance Advisers to conduct your Annual Review–

  • Capitalize on Our Many Years of Experience Conducting Annual Reviews
  • Achieve Maximum Objectivity to ensure that Deficiencies are Fully Identified and Corrected
  • Obtain Broader Insights into the Effectiveness of your Policies and Procedures
  • Preserve precious time and resources for other compliance matters
  • Cost Effective Means to Meeting this Regulatory Requirement

Contact us or Request a Customized Quote today  to conduct your firm’s 206(4)-7 Annual Review.

Broker Dealer

Time to Schedule your Rule 3120 Annual Review & 3130 Certification

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FINRA Rule 3120 testing and the certification required by FINRA Rule 3130 are each required to be completed once each calendar year. FINRA members must submit a report no less than annually to the firm’s senior management containing details of its system of supervisory controls and the results of the testing and verification of those controls. 

Furthermore, the Rule 3130 Certification must also be completed annually but not later than the anniversary date of the previous year’s certification.

Contact us today to schedule your Rule 3120 Testing/Rule 3130 Certification. Click here.