Information
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Audit Title
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Document No.
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
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Advertising Logs<br><br>The adviser has sufficient Ads<br>
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Business Cards/Letterhead
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Seminar Logs
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Adv's in use and previous versions-check if ADV Part 2B is Current
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Correspondence Logs
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Correspondence with Regulators
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Customer Complaint Log
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Client Files/Review/Check a sampling of fees charged against the Agreement
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Policies and Procedures Manual, Business Continuity Plan, AML Plan and Code of Ethics
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Do Not Call File
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Gift and Gratuity Log
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Social Media Usage
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Email Footer/Check if it matches Archive
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Reviewing Principal's Signature and Date
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Client Files Reviewed
