Mock SEC Examination

NorthPoint conducts a “mock” examination by requesting and reviewing the items contained in the SEC’s standard document request letter. NorthPoint’s staff conducts this examination just as if it were examiners for the SEC and requests additional documentation in certain compliance areas. NorthPoint also conducts “mock” interviews of a selection of your firm’s supervised persons.

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Annual Compliance Review

NorthPoint reviews and makes a determination as to the adequacy and effectiveness of your compliance policies and procedures. In the event that such policies and procedures could be improved, NorthPoint makes recommendations for improvements. The annual review also contains testing various aspects of the compliance program based on the level of risk in each compliance area. In conducting such tests, NorthPoint requests and reviews certain of the items contained in the SEC’s standard document request letter and reviews such documents for compliance with the Advisers Act and expected best practices.

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Comprehensive compliance solutions for investment advisors

Ongoing Compliance Testing

NorthPoint develops a calendar of compliance reviews and tests to be conducted over the course of a specified time period (e.g., one year) based on the specific level of risk at your firm. NorthPoint makes recommendations on how to correct any issues identified and on how to improve compliance policies and procedures and disclosures. NorthPoint also provides documentation with respect to the reviews and tests, including a record of the documents reviewed, observations, and recommendations.

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SEC Registration and Filing

NorthPoint prepares and files Parts 1 and 2 of Form ADV on the Investment Adviser Registration Depository (IARD), an electronic filing system that facilitates investment adviser registration. NorthPoint also creates compliance policies and procedures and a code of ethics that are tailored to your investment advisory businesses and are in accordance with compliance requirements and expectations under the Advisers Act.

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Additional Services

  • Compliance Training
  • Advertising Review
  • Formal Compliance Review and Testing Plan Design
  • SEC Examination/Inquiry Support
  • Form ADV Preparation and Review
  • Conflicts of Interest Identification and Review
  • Client Trading Review
  • Best Price and Execution Review
  • Risk Assessment and Inventory
  • Review of Soft Dollar Arrangements
  • Books and Records Review
  • Valuation Review
  • Employee Trading Review
  • Due Diligence Compliance Review
  • Blue Sky Filing Assistance

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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