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?
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.