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
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