Mock Regulatory Audits

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.