Every December, compliance officers scramble to reconstruct an entire year's activity in weeks. With Reg S-P's new compliance dates now in effect, 2026 examiners expect proof, not paperwork. What one habit could end the annual scramble for good? Learn more at https://riacomptech.com/what-to-cover-in-ria-annual-compliance-review-and-how-to-document-it
[curious] So every year around this time, somewhere out there, a chief compliance officer is staring at a stack of code-of-ethics attestations wondering how they got so behind. Why does the annual review always seem to sneak up on people? RIA Compliance Technology City: Scottsdale Address: 10031 E Dynamite Blvd Suite 240 Website: https://riacomptech.com/