Build a Better Annual Review: Your 2025 Guide to Smarter Compliance

Make your annual review more than a checkbox. This comprehensive guide helps you test, document, and optimize your compliance program year-round. 

The SEC requires an annual review of your firm’s compliance program under Rule 206(4)-7. But in 2025, regulators expect more than a quick once-over. This guide helps you rethink the annual review as a strategic tool to identify gaps, align controls, and stay exam-ready—every quarter of the year. 

Inside, you'll find:

• Clear guidance on transactional, periodic, and forensic testing 
• Section-by-section prompts for marketing, custody, best execution, and more 
• 2025 updates and regulatory shifts 
• Pro tips and exam trends drawn from real-world compliance consulting 

Whether you’re a solo CCO or part of a global team, this guide can help make your annual review a driver of continuous improvement. 

Receive your copy today and get started.