For all payments/subscriptions: We will not accept checks due to its delays in delivery and the possibility of getting lost in the mail.
Accepted payments are: Credit/Debit cards (Visa, Mastercard, AMEX), wires*, and ACH/E-checks*.
Let us know if you’d like to pay via wire or E-Check/ACH and we provide specific instructions.
Interview of business operations
Provide a core Information Request List;
Client File Review/Sampling;
Follow-Up/Report/Feedback
Policies, books, and records
Client files; billing
ADV and disclosure documents
Agreements
Trading procedures; Code of ethics
Fee arrangements; accounts
Advertising (marketing, social media, internet, etc.)
Client Deliverables (reporting; questionnaires)
Data retention/recordkeeping (security; effectiveness)
CCO Duties Overview (Training)
Interview of business operations
Provide a core Information Request List;
Client File Review/Sampling;
Follow-Up/Report/Feedback
Policies, books, and records
Client files; billing
ADV and disclosure documents
Agreements
Trading procedures; Code of ethics
Fee arrangements; accounts
Advertising (marketing, social media, internet, etc.)
Client Deliverables (reporting; questionnaires)
Data retention/recordkeeping (security; effectiveness)
CCO Duties Overview (Training)
Compliance Calendar
Guidelines
Alerts
Checklists
Maps
Forms
Disclosures/Filings
Video Library
Review Center
Integrations
File Portals
Cloud Storage Directory
Secure Files Portal
Client Center
Project Center
Document Portal
Disclosure Center
Public Disclosures
Staff Disclosures
Basic Version included
Premium Version (Add-on fee applies)
Compliance Calendar
SEC/State Guidelines
Networking
Vendor/Offers Directory
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App Store Link |