The Compliance Gurus
"An investment advisory practice is only as strong as its compliance foundation."

Guru's Ongoing Mock Audit

The nine most terrifying words in the English language are, "I'm from the government and I'm here to help."
-Ronald Reagan-

Choose a part of your practice for compliance review!

We recommend an audit of a particular segment of your compliance systems at least once each month, and will add a fresh subject for you monthly. Of course, if you choose a more frequent review, the gurus will think you're brilliant!

Mock Audit 1 - The Starting Point [Word Doc]

Compliance Program/Annual Procedure Review [PDF]

Risk Management Matrix [PDF]

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