Model-Compliance-Checklists-Bundle

Compliance Checklists Bundle (Model)

$1,000.00

Product Description

USCC’s extensive library of compliance checklists are designed to facilitate the execution, documentation and review of your firm’s compliance program.  USCC’s model bundle provides a generalized set of checklists that you can tailor to your specific business needs! The checklists available cover the following areas.

Form ADV Part 2A

Form ADV Part 2B

Wrap Fee Programs

Advertising & Marketing

Performance Advertising

Employee Transactions & Holdings

Custody

Data Security

Privacy Notices

Service Providers

Books & Records

Electronic Records