Risk assessments
Questionnaires
Certifications
SAS 70 reviews
Due diligence visits
In-person interviews

Gap analysis
Fund and advisor data review
Portfolio trading records review
Administrator records review
Transfer agent records review
Distributor records review
Transactional testing
Forensic testing

•Independent CCO Services
•Customized compliance program
•Preparation of compliance manuals
•38a-1 Annual Report assistance
•Advisor CCO Services
•Rule 206(4) advisor annual review assistance
•Mock SEC exams
•Specialized reviews and risk assessments
•Independent Compliance Consultant Services
•Compliance Training