COMPLIANCE ON-SITE EXAM CHECKLIST Site visit of (DBA) Date(Required) MM slash DD slash YYYY Address Street Address City State / Province / Region ZIP / Postal Code Advisor's Name(Required) First Last On-Site Examiner(Required) First Last CCO Review Completed By(Required) First Last 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) Completed Follow Up Required Comments 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) Completed Follow Up Required Comments 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) Completed Follow Up Required Comments 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) Completed Follow Up Required Comments Check that advisory client files are securely stored separate from insurance client files.(Required) Completed Follow Up Required Comments Have advisor demonstrate that lock on client filing system or storage room door functions.(Required) Completed Follow Up Required Comments Have advisor demonstrate that lock on office door functions.(Required) Completed Follow Up Required Comments Document how computer, external hard drives, and other physical media storage devices containing client data are secured.(Required) If computer, external hard drive, etc. containing client data leaves premises, document how device(s) is secured (i.e. computer requires password).(Required) If advisor uses a mobile phone or tablet for business tasks, document how the content is secured (passcode, face recognition, etc.).(Required) Document that any other entry points (back doors, windows, etc.) have functioning locks.(Required) Document if there is an alarm system, building security personnel, or other additional security measures.(Required) Any further items requiring documentation or follow-up?(Required) Any business items requiring follow-up?(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) Completed Follow Up Required Minimum 10% sampling unless errors are found.Advisor Signature(Required)On-Site Examiner Signature(Required)