Episode 86: The Annual Review with Annie Kong, IQ-EQ

Episode 86: The Annual Review with Annie Kong, IQ-EQ Annie Kong, Regional Lead (West) of Regulatory & Compliance, U.S. at IQ-EQ joins the Tokens of Wisdom Studio to explain what’s actually involved in an investment adviser’s annual review. Annie shares insights on the importance of ongoing compliance reviews, how to approach annual reviews proactively, and the ever-evolving regulatory landscape. Key Points From This Episode: Ongoing compliance review vs. check-the-box...