12c. PF – Annual Testing and Review of Business (Intermediate)


Attendees will learn current trends and practices for developing, conducting, and maintaining an effective and robust annual testing program in accordance to SEC Rule 206(4)-7. This session will provide best practices to design and implement a robust review and testing program, including analyzing conflicts and risks to identify and select testing topics and handle deficiencies.

Learning Objectives:

  • Learn what areas of your firm?s operations present the greatest risks and potential conflicts (e.g. expenses, fees, allocations, etc.)
  • Learn how to develop, implement and maintain a testing program that effectively addresses those risk areas and conflicts
  • Learn how to communicate testing results in an effective manner and handle difficult conversations
  • Understand the importance of working with your business partners to carry out the testing and develop remediation plans

Intermediate                        Program Level: Date: October 21, 2020 Time: 3:45 pm - 5:45 pm Kerri Cain Elizabeth Cope

Quick Links

For More Information, Contact Us:

(860) 672-0843 info@nscp.org