Your one-stop checklist for a complete annual compliance review — built for SEC and state-registered investment advisers.
 
Streamline your annual Rule 206(4)-7 review with this ready-to-use Excel checklist. Designed by seasoned compliance professionals, it walks you through each required testing area, aligns with current exam priorities, and helps you document findings, management responses, and improvement recommendations. Ideal for new or overextended CCOs who need structure, efficiency, and clear documentation.
 
The workbook includes multiple tabs: Instructions & Overview, Annual Review Checklist, Testing & Documentation Log, and Risk Assessment & Follow-Up Items.
 
These sections guide you through fiduciary, operational, trading, marketing, cybersecurity, and Reg S-P areas, with built-in space for notes, testing results, and management feedback. Each section includes better practices for improving efficiency, supervision, and compliance oversight, along with guidance on what to review and document in each area.
 
The worksheet is priced at $150 for a single-firm license.
 
This checklist is provided for general compliance guidance and educational use only. Purchase does not include consulting or follow-up support. Coulter Strategic Services LLC does not provide legal advice.