All SEC-registered advisers, as well as those engaging in established Best Practices, are required to perform an Annual Review of the firm’s Policies and Procedures Manual under Rule 206(4)-7. This is in essence a review and testing of the firm’s Policies and Procedures, culminating in a summary letter of the findings. Bates Compliance Group’s consultants have performed Annual Reviews for a wide range of clients, from small, one-member firms to some of the largest IA’s in the industry. The Bates team has extensive testing methodologies it uses to effectively “Pressure Test” a firm’s policies, determining if and where weaknesses exists and suggesting corrective measures the firm should implement. As supervision continues to top the SEC’s exam priority lists, having a sound compliance manual is a critical first step.
Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.Contact Bates Group