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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
Posted in Uncategorized
Tagged compliance, Compliance Testing, IA regulations, Investment Advisor, SEC regulations, Social Media
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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
Posted in Uncategorized
Tagged compliance, Compliance Testing, IA regulations, Investment Advisor, rules, SEC regulations
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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
Posted in Uncategorized
Tagged compliance, Compliance Testing, IA regulations, Investment Advisor, SEC regulations
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Hill Compliance Advisors' Blog 