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    Free Download · 2026 Edition

    The 2026 CCO Annual Review Checklist

    47 items across 10 sections — everything a Chief Compliance Officer needs to close out 2025 and survive the 2026 examination cycle.

    • Form ADV amendment timing & state notice filings
    • Marketing Rule (Rule 206(4)-1) testimonial review
    • Cybersecurity & vendor due diligence triggers
    • Books & records gaps examiners actually find

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    What's inside

    10 sections, 47 line items, built from real SEC and state examination findings from the last 24 months.

    1

    Form ADV & Brochure Updates

    2

    Annual Compliance Program Review

    3

    Code of Ethics & Personal Trading

    4

    Marketing Rule (Rule 206(4)-1) Review

    5

    Books & Records Audit

    6

    Cybersecurity & Vendor Due Diligence

    7

    Custody & Asset Verification

    8

    Business Continuity & Succession

    9

    Privacy (Reg S-P) & Identity Theft

    10

    State Notice Filings & IARD Renewals

    Built by working CCOs

    Drawn from 13+ years serving RIAs, broker-dealers, and private funds.

    2026-current

    Reflects the latest Marketing Rule, Reg S-P, and outsourcing rule guidance.

    Examiner-tested

    Mirrors the deficiency themes from recent SEC and state exam priorities.