DFP Partners brings 40 years of unbiased experience and perspective for thoughtful, customized 206(4)-7 annual reviews.
Our comprehensive annual review service brings together a team of compliance professionals with CCO experience, offering diverse perspectives to help Registered Investment Advisors (RIAs) meet all necessary compliance requirements pursuant to Rule 206(4)-7.
We can help proactively identify and address potential weaknesses in your compliance program to ensure your firm remains resilient through regulatory and industry changes.
Every review is conducted by seasoned compliance professionals with CCO experience who bring firsthand knowledge of regulatory expectations and nuanced guidance tailored to your firm’s business.
Our approach is designed to help your firm meet regulatory requirements with confidence, providing thorough documentation and proactive insights to support compliance efforts.
Instead of generic checklists and cookie cutter reviews, we tailor our process with a risk-based scope to reflect your firm’s specific structure and compliance needs.