How to Perform a 206(4)-7 Annual Review

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:

  • An Introduction to Cordium
  • What Does the SEC Want to See?
  • What Should an Annual Review Include?
  • How to Document the Annual Review of Compliance Procedures
  • Are There Any Tools that Can Help?

The presentation was followed by a live question and answer session.

Presented by:

WGM - WordPress

Bill Mulligan
Group President and CEO of Cordium US and Software

Click here to download the presentation.