In this ComplianceCasts Minute we focus on SEC guidelines for conducting annual reviews. With SEC regulation changing and expanding, knowing what to include in your annual review can be confusing at best. Ascendant’s Korrine Kohm discusses what areas to focus on to help ease the burden of an ever-growing mountain of regulation.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- New Form ADV: What you need to know to file your Annual Updating Amendment
- Due Diligence of Sub-Advisers and Other Third-Parties
- Diminished Capacity and Senior Clients: What Steps Compliance Can Take to Protect its Firm and the Client
Recent ComplianceCast™ Minutes