Renewal Reset

The Renewal Reset Series: From Filing to Findings — Using Renewal Season to Complete a Meaningful Annual Compliance Review | Part 3 of 3

This final article explains how to transform the work already done during renewal season into a risk-based annual compliance review, creating a practical framework that helps advisers close the loop on their annual compliance obligations.

Mar 45 min read

Renewal Reset Series: Stop Duplicating Compliance Work — Pair Your Renewal Filings With Your Procedure Review | Part 2 of 3

This post is the second entry in our Renewal Reset Series. Building on the insights from part one, we show how the data you collect for registration renewals can (and should) do double duty when updating your policies and procedures, helping you streamline your compliance efforts.

Feb 24 min read

The Renewal Reset Series: Your Annual Registration Renewal Is Calling — Is Your Procedure Manual Answering? | Part 1 of 3

Welcome to the first installment of our Renewal Reset Series, where we unpack how annual registration renewal can be more than just a filing chore. In this opening post, we explore why renewal season is a diagnostic tool for your firm’s compliance health, setting the stage for the integrated approach we’ll develop in the posts that follow.

Jan 55 min read