Solution introduction
When it comes to choosing the right professional auditing services for your state or SEC-registered investment advisory firm, you need to partner with a team of service providers that work as hard as you do
We go above and beyond to ensure that your team is empowered and informed about the current state of your firm’s compliance program, and what it needs to achieve to adhere to the federal and state regulations
Providing you with the support you need
To make sure that you have access to your industry’s best practices, we offer you a simulation of an on-site mock audit. Alternatively, we could also conduct a remote Compliance GAP analysis instead.
To help us laser-target any gaps or recognize any deficiencies in your firm’s compliance program, we’ll review the following areas to compile relevant samples that will help us streamline your program:
- ADV and Privacy Delivery Review
- Advertising Reviews
- Cash Report Reviews
- Check and Transaction Reviews
- Contract Reviews
- Correspondence Reviews
- Custody Reviews
- Customer Complaint Review
- Disclosure Brochures Reviews
- Gift Log Reviews
- Outside Business Activity Reviews
- Policies and Procedures Reviews
- Political Contribution Reviews
- Quarterly and Annual Personal Transaction Reviews
- Quarterly Management Fee Calculation
- Registration
- Semi-annual client and suitability reviews
- Soft Dollar Reviews
- Trade Surveillance/Error Reviews
