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Compliance Audits
SRP examines for compliance with SEC or state(s) requirements and issues a confidential report to management detailing the audit findings, as well as, recommendations for corrective action.
Investment Advisor Compliance services offered by SRP include, but are not limited to, the following:
1. Adviser registration and disclosures |
9. Conflict of interest |
2. Separation of businesses |
10. Insider trading |
3. Custody |
11. Books and records |
4. Solicitor arrangements |
12. Discretionary authority |
5. Brokerage transactions |
13. Advertising and correspondence |
6. Best executions |
14. Performance presentations |
7. Personal securities transactions |
15. Brochure rule |
8. Client contracts |
16. Firm specific issues |
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