Our platform helps you to prepare documents for an exam
Common exam deficient items*
Books/Records
- Form ADV Part 1, 2A, 2B Brochure
- Policies/Procedures Manual
- Advertising (performance reports, websites, etc.)
- Advisory forms (agreements, privacy notices, disclosures)
Forensic Testing
- Client billing procedures/fees
-
Trading/Portfolio Management
(trading with client objectives, fees, commissions)
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