Category: Alerts

Alaric Compliance Alert: Rethinking Your Annual Review

Annual reviews are a daunting task taking CCOs time and other valuable firm resources. In the cover story in this week’s Money Management Executive, “Conducting a Stronger Compliance Review”, Alaric Compliance explains that there are ways of conducting annual reviews that are faster than existing approaches, yet equally comprehensive.

Do you have the right resource to conduct a thorough review with less time and effort?

Many CCOs lack the time and resources to conduct their annual reviews effectively and efficiently, such as incorporating interim reviews. Fortunately, Alaric Compliance can help.

What we offer:

  • Annual Compliance Reviews
  • Mock Examinations
  • Technology Driven Monitoring and Testing Services
  • Compliance Program Gap Analyses and Assessment
  • Bundled Services including ongoing consulting support

What sets Alaric Compliance apart?

With nearly 300 years of cumulative financial services compliance expertise, we can help you leverage technology and interim testing to streamline your annual review.

Because we have completed hundreds of exams as CCOs and former regulators, we bring deep insight into current compliance issues, industry best practices, and regulators’ top focus areas.

To learn more about our Annual Review services, contact us via email at or call Alaric today at 1-888-243-2448.

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