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Mock Regulatory Audits

Services Provided

  • A mock regulatory examination announcement letter with a document request list

 

  • A virtual or on-site opening interview discussing aspects of your current compliance program

 

  • Audit coverage of the following areas, with regard to SEC or State rules and regulations:

 

  • Business Continuity Plan

  • Code of Ethics

  • State Notice-Filings/Registrations

  • Form ADV, Part 1

  • Firm Brochure (Form ADV Part 2A)

  • Brochure Supplement (Form ADV Part 2B) for each advisor

  • Form Client Relationship Summary ("CRS") review, if applicable

  • Privacy Policy

  • Regulation S-ID Identity Theft Procedures

  • Training

  • Prior Policies and Procedures Annual Reviews

  • Custody

  • Customer Files

  • Advisor Licensing and Registration (Form U4s, Form U5s)

  • Written Policies and Procedures

  • Books and Records – creation and retention

  • Advertising – including website, seminars, letterhead, business cards, etc.

  • E-mail reviews and retention

  • Written Correspondence

  • Investment Advisory Agreement(s)

  • Complaints/Form U-4 Disclosures

  • Employee Trading

  • Third Party Due Diligence

  • Information Technology/Disaster Recovery

  • Sub-Advisory Agreements (if applicable)

  • Solicitor Agreements (if applicable)

  • Solicitor Disclosure Document (if applicable)

 

  • Remediation of all audit deficiencies, including all document updates/revisions, and providing any customized documents that do not already exist

 

  • Advice on the every step of the examination process and what to expect from the examiners

 

  • Additionally an annual review and testing of the Written Policies and Procedures will be satisfied.

Compliance Manual
Mock Audits

Contact Us Today at:  (888) 240-4299

All information is always kept confidential

Disclaimer: Polaris Compliance Consulting, LLC is not a law firm, and we do not give any legal advice. As a consulting firm, we give our personal interpretation of the rules and regulations based on our experience, but we cannot guarantee that any areas advised will be favorably viewed by regulators.

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