Annual Compliance Review
The annual review of your compliance program’s adequacy and effectiveness is the #1 artifact examiners request. Run it as a guided workflow — and produce the written report — instead of a blank document.
A Blank Word Doc Isn’t a Process
Rule 206(4)-7 requires an annual review — and evidence you actually did it.
Most firms reconstruct the annual review from memory once a year. A structured, documented review across every program area — with ratings, findings, and remediation you can show an examiner — is what the rule expects and what protects the firm.
How It Works
Four steps from blank page to a documented annual review
Start the review
Open a new annual review for the year. The program is pre-loaded with the standard areas a 206(4)-7 review should cover.
Assess each area
For every area, rate the policy’s adequacy and its effectiveness, document the testing you performed, and record any findings.
Log findings & remediation
Capture deficiencies, assign an owner and a target date, and note the remediation plan — all in one place.
Conclude & document
Write your overall conclusion, mark the review complete to lock it, and print the written annual review report for your files.
Key Capabilities
Built for a defensible 206(4)-7 review
Pre-loaded standard review areas
Adequacy & effectiveness ratings per area
Findings with owner & target date
Year-over-year review history
Completion lock for a defensible record
Printable written annual review report
Every Program Area, Covered
The review is pre-loaded with the standard areas
Included on the Professional plan. Available to SEC RIAs, broker-dealers, and dual registrants.
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