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The New, Improved RIA Annual Compliance Review: Decoding

The New, Improved RIA Annual Compliance Review: Decoding the SEC’s Past Guidance and Recent Requirement for Written Reports
Wednesday, June 5, 2024 | 12:00 pm – 1:00 pm
Online registration is now closed. Please call Customer relations at 212 382 6663 to register or for assistance.
A one-hour panel discussion on the SEC’s rule issued in August 2023 that requires that all advisers registered with the Commission, including those that do not advise private funds, document in writing the annual review of their compliance policies and procedures. The annual compliance review has long been a requirement for registered investment advisors but there has not before been a rule expressly stating that review must be documented. The SEC has issued some guidance in the past as to what the annual review should include and brought some settled enforcement actions finding poor or non-existent annual reviews. This new rule, in an amendment to Investment Advisers Act rule 206(4)-7, adds to that guidance, as well as the risk that the Examinations Staff will assess whether written reports follow that guidance.

Who Should Attend: compliance officers of registered investment advisers and lawyers who advise them

CLE Credit:
New York: 1.0 Professional Practice
New Jersey: 1.0 General
California: 1.0 General
Pennsylvania: No CLE Credit
Connecticut: Available to Licensed Attorneys

Program Fee:

$49 for Members | $99 for Nonmembers
This program is free to Members who are Law Students, Recent Law Graduates, Newly Admitted Lawyers (admitted for the first time in 2022-2024), In-House Counsel, Judges, or Attorneys  in  Government, Academic or Not-for-Profit sectors.

Program Chair:
AJ Bosco, Zeichner Ellman & Krause LLP

Sponsoring Association Committees:
Compliance, Rory Cohen, Devi Shanmugham, Co-Chairs

Information about our Financial Aid Policy and Application can be found here


New York City Bar 42 West 44th St New York, NY 10036

Wednesday, 05 June 2024


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