|
General Compliance Consulting
SRP’s professionals offer a confidential and practicable source for compliance questions.
Investment Advisor Consulting services offered by SRP include,but are not limited to, the following:
1. Daily Compliance Matters |
5. Review of advertising and correspondence |
2. Research and answers to specific compliance inquiries |
6. Review and analysis of customer complaints |
3. Updates on new and amended rules, regulations and laws |
7. Review and analysis of regulatory inquiries |
4. Filing deadlines |
8. Book and Records requirements |
|
