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
Our compliance experts perform a detailed gap analysis on your written policies and procedures, business lines, and risks. This helps us to pinpoint areas for improvement, prioritize tasks for ongoing compliance and document in writing your compliance with the annual rule 206 review requirement. Our annual review services cover key aspects including:
SEC Rule 206(4)-7 requires registered investment advisors (RIAs) to document in writing an annual compliance review of their compliance program and compliance policies and procedures. RIAs must assess compliance programs to ensure they are designed to prevent violation and meet compliance requirements. Advisors must also address any deficiencies found during the review process. This rule helps investment adviser registered RIAs maintain regulatory compliance of the rules under the investment advisers act of 1940 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.
Contact Our Regulatory Experts
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
Challenge
Firms often find that vendors fail to add value and become a source of frustration rather than support.
Solution
Utilizing Oyster Consulting’s experienced and knowledgeable consultants transforms your vendors into valuable resources.
Outcome
Our consultants have specialized skills to help your firm achieve its business goals, growth objectives and maintain a system of reasonable compliance.
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Discover how our expert consultants can drive your success—get the full case study and learn more about how to partner with the right vendor for your firm’s success.
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