Monday, December 17, 2012

A White Paper to Help You with Your Annual CCO Report

As you know, regulators require each RIA to review and improve their compliance program on a continuous basis. These efforts must be documented at least annually in the form of an "Annual CCO Report".

To help you with this process, we have produced a white paper called Prevent, Detect, Correct: An Overview of Annual CCO Reports for RIAs. We hope you find this to be a useful tool for better understanding the specific elements of your annual CCO report.

Click here to download the white paper.

If we haven't already and you would like us to upload a copy of a template for you to use as a guide for your annual CCO report, please send an email to:

And we will upload a copy to your Advisor Portal.

Happy Holidays!

The AdvisorAssist Team


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