Serving Investment Advisors Since 2009

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Mock SEC Examination

Uncover compliance violations and deficiencies and prepare for an actual SEC examination

Annual Compliance Review

Comprehensive review of the adequacy and effectiveness of your compliance policies and procedures

Ongoing Compliance Testing

Detect compliance violations and deficiencies over the course of a specified time period (e.g., one year)

Decades of Industry Experience

NorthPoint understands the compliance requirements of investment advisers and how to develop, implement and maintain an effective program that accomplishes your compliance objectives. 

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Meet Our Team

NorthPoint’s staff is made up of former SEC compliance examiners, compliance officers, and seasoned compliance professionals.

Victoria G. Hogan, CFA

President

Colleen Montemarano

Senior Consultant

Nora Driscoll

Director of Operations

Compliance Resources

Resources

Form CRS Guidance

A guide to answer your questions on the Form CRS filing and delivery requirements.   If you are having trouble viewing the document please click here to view or download.
Resources

Exception to Reporting Requirements

Under the SEC’s Code of Ethics rule, access persons are required to report their personal holdings and securities transactions on a periodic basis, although an exception is made if such…
Resources

Questions for Your Traders

During an SEC examination, it is common for examiners to ask traders to “walk-through” how client trades are placed. Below is a list of specific questions that your traders may…
Resources
Disciplinary Questionnaire
Resources
Trade Blotter Review
Resources
Form ADV – Part 2A Checklist

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