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Adviser and Broker-Dealer Annual Regulatory Deadlines

Adviser and Broker-Dealer Annual Regulatory Deadlines

Kaitlyn Gibbs
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November 7, 2018

Annual Compliance Services Offerings

The end of 2018 is approaching quickly. CRC would like to remind you that for brokers and advisers with a December
fiscal year-end, annual amendments have filing deadlines 60 to 90 days following December 31st. To facilitate
streamlined regulatory reporting and filing, CRC offers a suite of services, as outlined below.

Adviser Offerings:

Form ADV Filings
Assistance with Drafting, Reviewing, and Filing Form ADV Parts 1, 2A, and 2B (deadline March 31, 2019)
Reviewing and Assessing State Registrations and Notice Filings and Supplemental Financial Statement Requirements, as
Other Regulatory Filings
Annual updates to Forms 13F (due February 14, 2019), 13G (due February 14, 2019), and 13H (due February 14, 2019)
Administration of CRD/IARD Account
Annual Review & Compliance Training
Annual 206(4)-7 Review Support, Execution, and Report Delivery
Annual Compliance Training (Under rule 206)
Other Services
Risk Assessment – regulatory best practice, not a requirement
Penetration Testing – CRC can liaise with a third-party vendor to facilitate a comprehensive evaluation of the firm’s network
security. Regulatory best practice, not a requirement
Annual Updates to Code of Ethics and Compliance Manual, as Necessary (must be completed annually, no specific
Policy and Procedure Review & Updates (Cybersecurity, Business Continuity Plan, Privacy Policy etc.) (must be reviewed
and updated as regulation changes or new regulatory guidance is made available, no specific deadline, best practice to
review annually)

Broker-Dealer Offerings:

AML Review – ensure that the firm has completed an annual AML review as required under FINRA Rule 3110
Annual 3120 Review – ensure that the firm has completed a comprehensive review of the compliance program, as
required by FINRA Rule 3120
Completion of 3130 certification
Administration of CRD/IARD Account – CRC is available to manage firm’s CRD/IARD account to complete annual
amendments, filings, and payments.
Annual Compliance Training – ensure that you have held Compliance Training for firm personnel for FY 2018, as required
under FINRA Rule 3110.

Ongoing Support

As always, we are available to service all of your ongoing Compliance. At CRC, we believe that an effective Compliance
program is a proactive one, which is why we are continually keeping abreast of changes that occur throughout the year.
The regulatory landscape is constantly evolving, and we are here to help enhance your program so that you can stay on
top of it all.

Use the form below to sign up for a complimentary consultation:




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