Annual Assessment

RIA firms are required to perform (or have a third party perform) an annual assessment of the firm's adherence to its compliance obligations. There is no specific deadline for this to take place, as long as it is accomplished annually; for most firms, summer is a slower time of the year, so we suggest completing the annual self-assessment in July or August. You are free to schedule this task whenever it works best for you, but try to do it at the same time each year so you are not going more... For details, click here: http://community.cs2compliance.com/event/annual-assessment http://community.cs2compliance.com/event/annual-assessment