RIA Self-Audit Kit
No need to stress about the possibility of an audit. You can now conduct an internal
self-audit with this user-friendly do-it-yourself kit. This Audit Kit assists you to be
in compliance in advance of a surprise visit from the regulators.
The Document Request List prompts you to compile and produce the necessary
documentation. The Audit Checklist helps you review the adequacy of the documentation.
The Kit includes:
- Document Request List
- Audit Checklist
- How to Treat an Auditor (white paper)
- Audit Response to Regulator - sample format
- Directory of Contacts