Jan 4
Among the services my clients have received: • AML Independent Audits. • Cybersecurity and Reg S-P Privacy Audits. • Creation and/or updating of written supervisory procedures, supervisory control procedures, compliance policies, and operations manuals. • Fiduciary Audits and CEFEX Certifications. • Mock audits to help firms prepare for actual audits by the SEC, State or FINRA. • Registration as an Investment Adviser. • Enforcement defense in regulatory and industry forums. • Continuing education courses for investment professionals on diverse topics, inter alia, Fed Watching; Modern Portfolio Theory; and Portfolio Construction Best Practices. READ MORE: Click Here