COMPLIANCE ON-SITE EXAM CHECKLIST

MM slash DD slash YYYY
Address
Advisor's Name(Required)
On-Site Examiner(Required)
CCO Review Completed By(Required)
Review complaint file. If there are no complaints, there should be an entry in the file stating that fact. If there are complaints, confirm with advisor that all have been submitted to Redhawk.(Required)
Review marketing file. If advisor does not disseminate marketing materials, there should be an entry in the file stating that fact. If there are marketing materials, confirm with advisor that all were submitted to Redhawk.(Required)
Review check log. If no checks received, there should be an entry in the file stating that fact. If there are checks received, confirm with advisor that the checks are entered into a check log.(Required)
Review Disaster Recovery and Business Continuity plan. If no such documentation exists, advisor needs to request template from Redhawk and customize plan for their firm.(Required)
Check that advisory client files are securely stored separate from insurance client files.(Required)
Have advisor demonstrate that lock on client filing system or storage room door functions.(Required)
Have advisor demonstrate that lock on office door functions.(Required)
Conduct a sampling of client files to ensure that signed discretionary agreement, risk tolerance questionnaire, annual client meeting notes, and other client paperwork is account for.(Required)
Minimum 10% sampling unless errors are found.

Our Headquarters

Main Office

REDHAWK WEALTH ADVISORS, INC

8500 Normandale Lake Blvd, Suite 960, Minneapolis, MN 55437

Phone: 952.835.4295

Redhawk

Investment advisory services offered through Redhawk Wealth Advisors, Inc., an SEC Registered Investment Advisor.

  • Contact Us

    Address: 8500 Normandale Lake Blvd, Suite 960

                   Minneapolis, MN 55437

    Email: Support@RedhawkWA.com

    Phone: 952.835.4295

     

  • Disclosures

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