11d. IA/IC/PF – Annual Testing & Review of Business (Intermediate)

Attendees will learn current trends and practices for developing, conducting, and maintaining effective and robust annual testing programs in accordance to SEC Rules 206(4)-7 and 38a-1. This session seeks to provide best practices as it relates to the design and implementation of a robust annual review and will include analysis of risks to consider in identifying and selecting testing topics, handling identified deficiencies, and rendering results into a final report.

Learning Objectives:

  • Learn how to implement and maintain a testing program that reflects your firm’s size, business model, and structure and is reflective of regulatory developments and other hot topics (e.g. fees, billing, share class selection etc.)
  • Learn how to communicate testing results in an effective manner and handle difficult conversations
  • Understand the importance of partnering with your business partners to develop remediation plans
  • Understand why you should consider a summary document of the testing program for management


Sponsored by:

Intermediate                        Program Level: Date: October 21, 2020 Time: 2:00 pm - 3:15 pm Tito Pombra Neshie Tiwari

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(860) 672-0843 info@nscp.org