RIA Compliance Services: Annual Reviews

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Navigating the complexities of regulatory requirements can be daunting. Oyster Consulting offers customized annual RIA compliance program reviews to ease the burden.

Compliant Annual Reviews

RIAs face various compliance challenges as they meet regulatory requirements and maintain effective compliance programs. 

We understand the challenges to investment advisor compliance and strive to alleviate them by providing thorough annual RIA reviews. Our goal is to help you achieve and maintain regulatory compliance, optimize your operational efficiency, and mitigate compliance risks.

Navigate Compliance With Oyster

RIA Firm Annual Review Services

Our compliance experts perform detailed gap analyses on your written policies and procedures, business lines, and risks. This helps us to pinpoint areas for improvement and prioritize tasks for ongoing compliance success. Our annual review services cover key aspects including:

  • Books and Records
  • Business Continuity Plan/Disaster Recovery
  • Code of Ethics – Employee Personal Trading
  • Compliance Program
  • Information Security and Customer Privacy
  • Marketing and Advertising
  • Regulatory Filings and Disclosures
  • Custody
  • Supervisory Practices
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Regulatory Background

SEC Rule 206(4)-7 requires registered investment advisors (RIAs) to conduct an annual review of their compliance policies and procedures. RIAs must assess compliance programs to ensure they are meeting compliance requirements. Advisors must also address any deficiencies found during the review process. This rule helps RIAs maintain regulatory compliance and protect the interests of their clients.

Oyster Consulting understands the challenges and regulatory scrutiny faced by RIAs. Our experts have a deep understanding of the rules mandated by the Securities and Exchange Commission (SEC). We offer comprehensive compliance program reviews led by consultants who will support you every step of the way.

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The Oyster Difference

Our team comprises former regulators, Chief Compliance Officers (CCOs), and compliance professionals who understand annual review compliance requirements. Our RIA compliance consultants provide detailed written reports with procedural and process enhancements aligned with industry best practices.

We collaborate closely with your firm to ensure that your compliance program reflects its capabilities, leverages technology, and implements efficient processes. Oyster’s approach ensures that you address risks while remaining compliant with relevant rules and regulations.

Meet Our Consultants

Our Process

Step 01

Discover

We listen to your goals and priorities. We foster significant transformation by encouraging a dialogue that goes both ways.

Step 02

Plan

We make a plan and schedule to give your team the best financial service industry experience for your project.

Step 03

Implement

Oyster ensures regular communication to oversee and strengthen the financial compliance management project objectives while accomplishing project tasks.

Step 04

Deliver

Oyster offers financial services regulatory compliance support to meet your goals and expectations.