Information

  • Audit Title

  • Document No.

  • Client / Site

  • Conducted on

  • Prepared by

  • Location
  • Personnel

  • Advertising Logs<br><br>The adviser has sufficient Ads<br>

  • Business Cards/Letterhead

  • Seminar Logs

  • Adv's in use and previous versions-check if ADV Part 2B is Current

  • Correspondence Logs

  • Correspondence with Regulators

  • Customer Complaint Log

  • Client Files/Review/Check a sampling of fees charged against the Agreement

  • Policies and Procedures Manual, Business Continuity Plan, AML Plan and Code of Ethics

  • Do Not Call File

  • Gift and Gratuity Log

  • Social Media Usage

  • Email Footer/Check if it matches Archive

  • Reviewing Principal's Signature and Date

  • Client Files Reviewed

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