As we approach year-end, advisers should be mindful of their Q4 2016 and Q1 2017 compliance obligations. Duff & Phelps' Compliance Consulting professionals can assist with any or all of the tasks identified on our year-end checklist, and ensure our clients have scheduled time to address these matters in a timely and responsible manner.
We are delighted to offer our services at a discounted rate to existing clients, through Friday, December 9, 2016.
Year-End Compliance Program Maintenance
- Required Annual Compliance Review of Policies and Procedures
- Compliance Program Industry Benchmark: Find Out How Your Program Compares
- Update of Compliance Policies and Procedures
- Employee Certifications and Acknowledgements
- Cybersecurity Policy
- Investor Communications
- Updated Form ADV Part 2
- Deliver Audited Financial Statements to Investors
- Service Provider Due Diligence
- Form ADV Update
- Form PF Update
- Regulatory Filings Including Forms 13D, 13G, 13F, and 13H
- TIC Forms Including Form SLT
- CFTC and NFA Filings
- Annual NFA Self-Examination Questionnaire
- CPO-PQR and CTA-PR
- Reaffirm Exemptions
- Bylaw 1101 Certifications
Stay Ahead with Kroll
Financial Services Compliance and Regulation
In the ever-evolving financial services landscape, Kroll's award-winning team offers comprehensive regulatory and compliance services, guiding clients through registration, licensing, and compliance support to minimize risks and enhance efficiency globally.