The Most Wonderful Time of The Year: Tailoring Your Annual Compliance Review

In today’s rapidly evolving regulatory landscape, conducting an effective annual review has become more challenging. To help you navigate these requirements, we invite you to join us on Tuesday, December 10, 2024, at 11am ET, when ACA Wealth’s seasoned experts will provide valuable insights into meeting the obligations of the annual compliance review required under SEC Rule 206(4)-7.

Our experts will guide you through the essential steps for organizing, communicating, and managing expectations for the annual compliance review. Also, gain actionable tips for meeting regulatory standards and preparing for an efficient, thorough review.

Register today to equip yourself with best practices for a seamless annual compliance review!

Why join

• Stay updated: Gain insights on the latest regulatory changes impacting investment advisers.
• Best practices: Discover practical tips for organizing, communicating, and managing your annual compliance review efficiently.
• Avoid common pitfalls: Understand and sidestep common weaknesses that can arise in the review process.

Speakers

• Scott Reckamp, Senior Principal Consultant, ACA Group
• Tina Mahota, Senior Principal Consultant, ACA Group