Annual Review – Spreadsheet for Risk Assessment, Supervision Chart and Assessment Log
This form is intended to assist an investment adviser firm in documenting its risk assessment, supervision duties and annual review and assessment of its compliance program (i.e. policies/procedures). in Bronze, Silver, Gold, & Platinum Packages
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Product Description
This sample form is intended to assist an investment adviser firm in documenting its risk assessment, supervision duties and annual review and assessment of its compliance program (i.e. policies/procedures).
This sample form should be considered as a starting point; the investment adviser firm will need to customize this sample form to its business model and policies and procedures. Please see our disclosure about the limitations of sample form at http://www.ria-compliance-consultants.com/ria_express_investment_advisor_compliance_tools/sample-forms/
This sample form is a basic tool which is not comprehensive of all potential compliance requirements/issues. There are numerous compliance requirements which are not addressed at all or in significant detail by this sample form. This sample form is not a substitute for using RIA Express – Compliance Review software tool or a consultant led annual review. This sample form should be used with other resources such as the securities regulator's published examination priorities, a sample information request from the securities regulator, the securities regulator's published risk alerts and interpretive guidance and recent enforcement actions.
This sample document is delivered via the purchaser’s online subscription account with RIA Compliance Consultants. If the purchaser does not have an online subscription account, after the purchase, the purchaser will receive a follow-up email directing the purchaser to establish online subscription account. This step will need to completed before our systems can deliver the sample document. For an instructional video, please visit http://ria-compliance-consultants.com/subscription-account-demo/
Included with Bronze, Silver, Gold and Platinum Packages. Initially posted in October 2018.