Cetera Financial Group’s Post

📢 Attention All Registered Investment Advisors (RIAs), including Hybrid RIAs: We all know that RIAs are required to do an Annual Review of their compliance policies and procedures under 206(4)-7. However, you might have missed the new requirement that went into effect last November. The SEC issued a Final Rule titled “Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews” which states:   𝐂𝐨𝐦𝐩𝐥𝐢𝐚𝐧𝐜𝐞 𝐑𝐮𝐥𝐞 𝐀𝐦𝐞𝐧𝐝𝐦𝐞𝐧𝐭𝐬. The reforms include amendments to the compliance rule under the Advisers Act requiring all registered advisers, including those that do not advise private funds, to document in writing the required annual review of their compliance policies and procedures.    We know that many RIAs do not currently document this review, and we’re here to help. Let our expert consultants conduct your Annual Review this year so you can benefit from: ☑     An outside Compliance Expert conducting your review ☑     An formal Annual Review Report to fulfill this new requirement  ☑    A full debrief walking you through action items and sharing best practices along the way.   Contact us today to see how we can help! Email: info@reliantcompliance.com     www.reliantcompliance.com

Would you be prepared for an FCA Skilled Persons review? Join Grant Thornton's Investment Management Breakfast Briefing on 16 Nov 2023 to hear insights from our experienced Skilled Persons panel. Discuss the best practices for managing a Skilled Persons review with your peers and gain valuable insights on dealing with regulators and firms. Register your place now through the link below:   https://bit.ly/47pJm39   #skilledpersonsreview #investmentmanagement #regulatorycompliance 

Through proactive planning, #InvestmentManagment firms can maintain and manage a regulatory-ready posture. #Deloitte #DeloitteInsights

Join us on 16 Nov 2023 for Grant Thornton's Investment Management Breakfast Briefing on Skilled Persons review - insights from a Skilled Person. Learn from our experienced panel on how to best manage this process and prepare for a Skilled Persons review. This event is a great opportunity to meet with peers and discuss the latest regulatory requirements. Register your place now and join us at our London office for this informative event.   https://bit.ly/47pJm39   #investmentmanagement #skilledpersonsreview #regulatorycompliance 

Whether you’re just launching your new investment advisory firm or have been in business for years, most investment advisers seek out some level of support from a compliance consultant. But how do you go about choosing the right compliance consultant for your firm that will give you peace of mind? That’s what we discuss in the article I’m posting today. Please reach out with any questions you have on how to choose the right compliance consultant for your firm. #compliance #wealthmanagement #financialservices #investmentadvisers #RIAs

Join us on 16 Nov 2023 for Grant Thornton's Investment Management Breakfast Briefing on Skilled Persons review - insights from a Skilled Person. Learn from our experienced panel on how to best manage this process and prepare for a Skilled Persons review. This event is a great opportunity to meet with peers and discuss the latest regulatory requirements. Register your place now and join us at our London office for this informative event.   https://bit.ly/47pJm39   #investmentmanagement #skilledpersonsreview #regulatorycompliance 

Chief Information Officers Can Play a Role in Driving Private Equity Returns

Join us on 16 Nov 2023 for Grant Thornton's Investment Management Breakfast Briefing on Skilled Persons review - insights from a Skilled Person. Learn from our experienced panel on how to best manage this process and prepare for a Skilled Persons review. This event is a great opportunity to meet with peers and discuss the latest regulatory requirements. Register your place now and join us at our London office for this informative event.   https://bit.ly/47pJm39   #investmentmanagement #skilledpersonsreview #regulatorycompliance