RIA Compliance Checklist



RIA Compliance Checklist


Complimentary Consultation
 

With the end of 2021 quickly approaching, it’s time for RIAs and Chief Compliance Officers (“CCOs”) to start conducting their annual compliance reviews.


These reviews are mandated under Rule 106 (4)-7 of the Investment Advisers Act of 1940 to include evaluations of RIA policies and procedures, as well as any internal controls that may prevent state or federal regulatory violations.

Most RIAs are required to file their Form ADV updates by March 31st, 2022. In preparation, RIAs and CCOs should review any material changes, such as assets under management, people, locations, and outside business activities.

If you’re in need of guidance, AdvisorLaw’s RIA Compliance Team is here to provide a complimentary consultation, tailored specifically to your firm’s needs.

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