MOCK REGULATORY EXAMINATION
See Where Your Compliance Program Currently Stands...
Do you think that you have most of your compliance requirements met and under control, but just want that independent confirmation that your compliance program is in good shape?
At Polaris Compliance Consulting, LLC we specialize in regulatory compliance consulting for Registered Investment Advisors (RIAs), and we would like the opportunity to provide you with the comfort of knowing the status of your compliance program by our expert compliance consultants. Wouldn't you feel more comfortable knowing what to expect in a regulatory examination and knowing where you currently stand?
We can provide you with a comprehensive on-site mock regulatory examination for a flat fee with no travel costs. We will never charge you "extra" or "hidden" costs for "unexpected" reasons.
Below is what is included:
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A mock announcement letter with a document request list
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An 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 and State rules and regulations:
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Custody
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Business Continuity Plan
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Code of Ethics
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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)
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Privacy Policy
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Training
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Licensing and Registration
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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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Disclosures on firm documents (Investment Advisory Agreement, emails, etc.)
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Employee Trading
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Due Diligence
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Information Technology/Disaster Recovery
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A comprehensive audit report, notating all recommendations and management responses
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Advice on every step of the examination process and what to expect from the examiners
