Episode 86: The Annual Review with Annie Kong, IQ-EQ

Episode 86: The Annual Review with Annie Kong, IQ-EQ Annie Kong, Regional Lead (West) of Regulatory & Compliance, U.S. at IQ-EQ joins the Tokens of Wisdom Studio to explain what’s actually involved in an investment adviser’s annual review. Annie shares insights on the importance of ongoing compliance reviews, how to approach annual reviews proactively, and the ever-evolving regulatory landscape. Key Points From This Episode: Ongoing compliance review vs. check-the-box approachBreaking down the annual review into quarterly testingTailoring reviews to specific manager strategies and risksSEC's focus on substantive review over documentationIncorporating AI and cybersecurity into compliance programs Disclaimer: This show is for informational purposes only. Nothing presented here constitutes legal, investment or tax advice. The guests that join us share their considerable fund-related wisdom, but everything they share here is their personal opinion and for educational purposes only. On this show, they are speaking for themselves, and not for their employer or any affiliated entity. Tokens of Wisdom is produced by Dave Rothschild, partner at Cole-Frieman & Mallon LLP headquartered in San Francisco, California. For more information, visit https://colefrieman.com/ Links Mentioned in Today’s Episode: Dave Rothschild - https://www.linkedin.com/in/davidcrothschild/Annie Kong - https://www.linkedin.com/in/annie-kong-3bb24a30/ Cole-Frieman & Mallon LLP - https://colefrieman.com/IQ-EQ - https://iqeq.com/us/ Music by Joe Ginsberg - https://www.instagram.com/thejoeginsbergFor any questions or comments, email: [email protected] Watch Tokens of Wisdom on YouTube: https://www.youtube.com/@Tokens_DCR