Advisers Act Rule 206(4)-7 requires that SEC-registered hedge fund managers conduct an annual compliance review of their compliance infrastructure and procedures. In adopting the Rule, the SEC did not specify exactly what the annual review should entail.

Today, HedgeOp Compliance CEO Bill Mulligan taught a webinar on “Conducting an Annual Compliance Review” as part of HedgeOp’s Excellence in Compliance seminar series.  This seminar looks at HedgeOp’s suggested method for conducting an annual review including: review of compliance inventory items, conflicts of interest of review, use of employee and service provider questionnaires and more.   This seminar is not only geared towards SEC-registered managers, but also unregistered managers looking to conduct an annual compliance review as a form of “best practice.”

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