Registered Investment Advisor (RIA) Annual Compliance
Design your program to ensure you operate within the rules, risks, and parameters set for your firm
Oyster Consulting’s experts have the knowledge and resources to objectively review your compliance program, conducting a gap analysis of your policies, procedures, business lines and risks so that you know where to refine your program and prioritize your tasks.
Regulatory Background
Under SEC Rule 206(4)-7, Registered Investment Advisors are required, at least annually, to review their compliance policies and procedures and assess their effectiveness. Oyster provides comprehensive compliance program reviews conducted by consultants who have sat in your seat, facing the same obstacles and regulatory scrutiny.
The Oyster Difference
Oyster’s compliance experts are former regulators, CCOs and compliance professionals. We will provide your firm with a written report that includes procedural and process enhancements with an eye towards industry best practices.
Our operations and compliance experts will collaborate with you, ensuring your program reflects your firm’s capabilities, leverages technology and has effective, streamlined processes. Oyster will review the report with you to ensure you are addressing risk while complying with relevant rules and regulations.
Download the Outsourced Testing Services eBook to learn about when outsourcing testing makes sense.
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RIA Annual Review Services
Annual Review Services provide a gap analysis of policies and procedures and supervisory practices including:
Books and Records
Business Continuity Plan/Disaster Recovery
Code of Ethics – Employee Personal Trading
Compliance Program
Review and Gap Analysis of Policies and Procedures
Information Security and Customer Privacy
Marketing and Advertising
Regulatory Filings and Disclosures, including Forms ADV 1 and 2 filings
Custody
Supervisory Practices
Our Process
Step 01
Discover
We listen to your goals and priorities. We create transformative change by inviting a two-way discussion.
Step 02
Plan
We customize your project by creating a scope and timeline to deliver the best experience for your team.
Step 03
Implement
Oyster maintains consistent communication to monitor and reinforce project goals while completing project deliverables.
Step 04
Deliver
Whether your need is ongoing consulting or project based, Oyster will deliver a quality product that encapsulates your goals and expectations.