NO ONE LIKES A POP-QUIZ, SO BE PREPARED WITH SOME PRACTICE EXAMS

STARTER
$6,500

Our STARTER package is crafted for firms with less than 1,500 accounts and/or under $450 million in AUM.

  • Guaranteed a specialist with a minimum of 10 years direct compliance experience
  • Desktop review, no onsite hassle
  • Mock interviews with key employees
  • Written compliance program review report covering a minimum:
    • Books & Records
    • Business Continuity Planning
    • Code of Ethics
    • Custody & Safeguarding Client Assets
    • Fees & Expenses
    • Marketing & Solicitation
    • Investment Management
    • Privacy and Cybersecurity
    • Proxy Voting
    • Regulatory Filings & Disclosures
    • Trading
    • Valuation
  • Entrance/Exit Interview
Purchase

COMPLETE
$15,000

Our COMPLETE package is crafted for firms with less than 3,000 accounts and/or under $1 billion in AUM.

  • Guaranteed a specialist with a minimum of 10 years direct compliance experience
  • Guaranteed a minimum of 3 days of onsite review
  • Guaranteed a former regulator
  • Mock interviews with key employees
  • Written compliance program review report covering a minimum:
    • Books & Records
    • Business Continuity Planning
    • Code of Ethics
    • Custody & Safeguarding Client Assets
    • Fees & Expenses
    • Marketing & Solicitation
    • Investment Management
    • Privacy and Cybersecurity
    • Proxy Voting
    • Regulatory Filings & Disclosures
    • Trading
    • Valuation
  • Entrance/Exit Interview
Purchase

CONCIERGE
$30,000

Our CONCIERGE package is crafted for firms with 3,000+ accounts and/or $1+ billion in AUM.

  • Guaranteed a specialist with a minimum of 15 years direct compliance experience
  • Guaranteed a minimum of 5 days of onsite review
  • Guaranteed a former regulator
  • Mock interviews with key employees
  • Written compliance program review report covering a minimum:
    • Books & Records
    • Business Continuity Planning
    • Code of Ethics
    • Custody & Safeguarding Client Assets
    • Fees & Expenses
    • Marketing & Solicitation
    • Investment Management
    • Privacy and Cybersecurity
    • Proxy Voting
    • Regulatory Filings & Disclosures
    • Trading
    • Valuation
  • Entrance/Exit Interview
Purchase