INVESTMENT ADVISER
INVESTMENT ADVISER START-UP AND FOLLOW-UP
PRE-REGUALTORY MOCK AUDITS
•
We will preform a mock audit of your Home Office location to better prepare
you for a regulatory audit.
COMPLIANCE CONSULTANTS, INC
11490 N PINEHURST CIRCLE
MEQUON,WI 53092
•
Develop Customer Agreements.
•
Prepare Supervisory Procedures Manuals.
•
Review Current ADV Parts 1 & 2 and Compare with Customer Agreement and
Written Supervisory Manual to ensure information is consistent.
•
File form U-4 on CRD and request initial regulatory examination(s).
•
Complete Pre-Regulatory Mock Audits
•
Prepare Answers to Post-Regulatory Audit Deficiencies.
•
Obtain required regulatory examinations or industry affiliations.
•
Request registration or notice filing in those states required due to having more
than five clients and in those states that do not accept de minimis exemptions.
.
PREPARE ANSWERS TO POST-REGULATORY DEFICIENCIES
Let us assist you in answering deficiencies found during a regualtory audit and
create the required changes in your compliance and/or operations areas.
INVESTMENT ADVISER
INVESTMENT ADVISER START-UP AND FOLLOW-UP
PRE-REGUALTORY MOCK AUDITS
•
We will preform a mock audit of your Home Office location to better prepare
you for a regulatory audit.
.
PREPARE ANSWERS TO POST-REGULATORY DEFICIENCIES
Let us assist you in answering deficiencies found during a regualtory audit and
create the required changes in your compliance and/or operations areas.
•
Develop Customer Agreements.
•
Prepare Supervisory Procedures Manuals.
•
Review Current ADV Parts 1 & 2 and Compare with Customer Agreement and
Written Supervisory Manual to ensure information is consistent.
•
File form U-4 on CRD and request initial regulatory examination(s).
•
Complete Pre-Regulatory Mock Audits
•
Prepare Answers to Post-Regulatory Audit Deficiencies.
•
Obtain required regulatory examinations or industry affiliations.
•
Request registration or notice filing in those states required due to having more than
five clients and in those states that do not accept de minimis exemptions.
COMPLIANCE CONSULTANTS, INC
11490 N PINEHURST CIRCLE
MEQUON,WI 53092