Important Compliance Year End Deadlines

As we approach year-end, advisers should be mindful of their Q4 2016 and Q1 2017 compliance obligations. Duff & Phelps' Compliance Consulting professionals can assist with any or all of the tasks identified on our year-end checklist, and ensure our clients have scheduled time to address these matters in a timely and responsible manner.

We are delighted to offer our services at a discounted rate to existing clients, through Friday, December 9, 2016.

Year-End Compliance Program Maintenance

• Required Annual Compliance Review of Policies and Procedures
• Compliance Program Industry Benchmark: Find Out How Your Program Compares
• Update of Compliance Policies and Procedures
• Employee Certifications and Acknowledgements
• Cybersecurity Policy 
• Investor Communications
  • Updated Form ADV Part 2
  • Deliver Audited Financial Statements to Investors
• Service Provider Due Diligence
• Form ADV Update
• Form PF Update
• Regulatory Filings Including Forms 13D, 13G, 13F, and 13H
• TIC Forms Including Form SLT
• CFTC and NFA Filings
  • Annual NFA Self-Examination Questionnaire
  • CPO-PQR and CTA-PR
  • Reaffirm Exemptions
  • Bylaw 1101 Certifications