- 30 min30 minutes
- Initial AssessmentInitial Assessment
- Face to Face Meeting or Phone consultation
We offer the following audit services for state and SEC-registered investment advisory firms: We can assess the current state of your Firm's existing compliance program against federal and state regulations as well as industry best practices by offering either a simulated on-site Mock Audit or remote Compliance GAP analysis. We review a sample of the following compliance areas to identify any gaps or deficiencies in your Firm's compliance program: • Disclosure Brochure Review • Correspondence Reviews • Trade Surveillance/Error Reviews • Check and Transaction Reviews • Quarterly Management Fee Calculation Reviews • Registration Review • Outside Business Activity Reviews • Customer Complaint Reviews • Cash Report Reviews • Quarterly and Annual Personal Transaction Reviews • Semi-annual client and suitability reviews • Soft Dollar Reviews • Contract Reviews • Policies and Procedures Reviews • Advertising Reviews • Gift Log Reviews • Political Contribution Reviews • Custody Reviews • ADV and Privacy Delivery Reviews The pricing for our mock audit and compliance GAP analysis services ranges from $3,500 - $15,000 dependent the complexity of your Firm's business model.
Suite A 2407 S Bagdad Rd, Leander, TX 78641, USA