Cordium held a webinar on Thursday, June 28, 2016 that discussed how to perform a 206(4)-7 annual review.
Bill Mulligan, CEO of Cordium US and Software, and Group President with over 21 years of professional experience, reviewed the main items an annual review should include and exactly what the SEC looks for in an annual review. He also provided tips for documenting your review so that your firm is prepared for the inevitable regulatory exam.
Topics for discussion included:
The presentation was followed by a live question and answer session.
Group President and CEO of Cordium US and Software
Click here to download the presentation.