Forensic Reviews of Investment Advisory Accounts

The Importance of Knowing Your Client & Their Account(s)

  • OFAC & KYC Concerns
  • Outdated Investment Policy Guidelines or Suitability Forms
  • Accuracy of Valuation & Fee Calculations
  • Investment Advisory Agreements
  • Updating Beneficiary and Client Contact Information
  • Checking for Custody

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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