8e. IA/IC/PF Lab – Roadmap to Conduct Annual Compliance Reviews (SPACE IS LIMITED)

This basic session will provide hands-on tools to those professionals just starting, or are looking for a refresher, to test their firm’s processes and procedures as part of the annual compliance review as required by 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, documentation of testing results, handling identified deficiencies, and rendering the results into a final report.
Advanced Preparation: None
Pre-requisites for participation: No prerequisites are required
Learning Objectives:
• Learn how to prioritize testing topics and balancing compliance resources while still conducting an effective review
• Discuss tips and tricks on communicating identified deficiencies in an effective manner
• Discuss how to partner with stakeholders to resolve identified deficiencies and best practices on when and how to escalate deficiencies
• Understand how to summarize testing results into a final report


Sponsored by:

Lab                        Program Level: Basic Date: October 22, 2019 Time: 3:45 pm - 5:00 pm Tracy Abbott Allison Fraser