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| Compliance Matrix includes questions for testing the investment advisor's compliance policies and procedures. Topics include: IARD/CRD, Filings & Reports, Form ADV/Brochure Disclosure & Delivery, Investment Advisory Agreements, Custody, Books & Records, Financial Condition of the Firm, Internal Controls, Suitability, Portfolio Management, Prohibited Transactions, Conflicts of Interest, Brokerage/Trade Execution, Marketing Material, Perfomance Calculations, Compensation/Client Fees, Client Referrals, Proxy Voting, Regulation S-P, Anti-Money Laundering (AML), Disaster Recovery |
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