How to Build a 206(4)-7 Annual Review That Actually Passes Examination
SEC Rule 206(4)-7 requires all Registered Investment Advisers (RIAs) to conduct a thorough review of their compliance policies and procedures at least annually. Despite this clear, long-standing mandate, many RIAs fail their SEC examinations because their annual reviews are superficial, generic, or completely unorganized. A passing review requires a deep, evidence-backed evaluation of your entire […]
SEC’s 2025 Examination Priorities: What RIAs Need to Know
The SEC’s Division of Examinations has released its official priorities, signaling a significantly heightened focus on Registered Investment Advisers (RIAs). For compliance officers, this annual release serves as a strategic roadmap to prepare for potential audits. This year, the regulator is shifting away from generic checklists, focusing instead on active risk mitigation, operational resilience, and […]
