Forensic Reviews of Investment Advisory Accounts

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  • Outdated Investment Policy Guidelines or Suitability Forms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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