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3rd Party Compliance Mock Audit

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Mar 27, 2011 11:47 pm


Can anyone recommend a third party Compliance firm that would conduct a mock audit at a newly formed RIA firm located in the Southern California marketplace?


Apr 9, 2011 5:51 pm

I think Compliance Max is in San Diego -- no relationship.

Mainstay Group travels around -- prior professional relationship with Dave Paulukaitis - former FINRA/NASD regulator of 25+ yrs

rennaisance counsulting group travels around -- prior biz dealing with them with prior firm.  Former SEC branch chief for BD & RIA exams.