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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