Monthly Archives: August 2013

Compliance Testing – Advertising

Other testing items to consider,  in the area of Advertising: 1.  Review emails to determine if any marketing materials have been distributed that have not been reviewed. 2.  Review website for accuracy of content and disclosures. 3.  Review social media … Continue reading

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Compliance Testing – Protecting Client Assets

Some testing to assist you in protecting your client assets: 1. Are clients actually receiving their custodial statements.  Ask clients during meetings to bring their statements. 2. When receiving an account transfer, wiring instructions or a check request from a … Continue reading

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Compliance Testing – Quarterly COE reports

An easy testing function is  your quarterly Code of Ethics personal securities transaction reports. 1.  Have they been received within the time required (10 days from the end of the quarter for states; 30 days for SEC registered advisors) 2. … Continue reading

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