Compliance Consulting Services for State and SEC Registered Investment Advisors


Mock Regulatory Audits
Services Provided
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A mock regulatory examination announcement letter with a document request list
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A virtual or on-site opening interview discussing aspects of your current compliance program
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Audit coverage of the following areas, with regard to SEC or State rules and regulations:
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Business Continuity Plan
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Code of Ethics
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State Notice-Filings/Registrations
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Form ADV, Part 1
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Firm Brochure (Form ADV Part 2A)
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Brochure Supplement (Form ADV Part 2B) for each advisor
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Form Client Relationship Summary ("CRS") review, if applicable
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Privacy Policy
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Regulation S-ID Identity Theft Procedures
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Training
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Prior Policies and Procedures Annual Reviews
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Custody
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Customer Files
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Advisor Licensing and Registration (Form U4s, Form U5s)
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Written Policies and Procedures
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Books and Records – creation and retention
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Advertising – including website, seminars, letterhead, business cards, etc.
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E-mail reviews and retention
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Written Correspondence
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Investment Advisory Agreement(s)
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Complaints/Form U-4 Disclosures
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Employee Trading
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Third Party Due Diligence
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Information Technology/Disaster Recovery
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Sub-Advisory Agreements (if applicable)
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Solicitor Agreements (if applicable)
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Solicitor Disclosure Document (if applicable)
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Remediation of all audit deficiencies, including all document updates/revisions, and providing any customized documents that do not already exist
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Advice on the every step of the examination process and what to expect from the examiners
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Additionally an annual review and testing of the Written Policies and Procedures will be satisfied.

