Today’s sophisticated investors and regulators expect investment advisers and broker-dealers to employ compliance and operational infrastructure capable of detecting and preventing fraud and misconduct. Investor expectations and current regulations require firms to test periodically and fully document their compliance and control procedures.

Many investors and accepted industry best practices require that annual compliance testing be conducted and certified by an independent, third-party firm. Our Compliance Monitoring and Mock Audit Programs provide an extra level of investor and client confidence and add a measure of independence expected by investors and regulators. Each audit and monitoring program starts with a thorough risk assessment of all appropriate firm infrastructure areas and critical areas.