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Compliance Officer’s 2022 Checklist

For U.S. advisers

It’s time to make your year-end checklist as you wrap-up your compliance obligations for 2021 and build your compliance program’s roadmap for 2022. Download our checklist here to use as a guide to end the year strong.

For investment advisers based in the United States, there is a clear sense that as the new SEC administration, led by Chair Gary Gensler, finds its footing, we are likely to see a more aggressive SEC in the year ahead.

ACA recommends taking the areas highlighted within this checklist into consideration as you wrap-up your compliance obligations for 2021 and prepare for 2022.