Run SEC and State RIA Examination Preparation Document Request Checklist — Free

Exam Scope and Request Log

Exam notice or request letter is saved and dated critical (required)

Yes No N/A

Exam scope, period under review, and regulator are identified critical (required)

Document request log includes each request, owner, due date, and status critical (required)

Yes No N/A

Internal response deadlines are set ahead of regulator due dates critical (required)

Yes No N/A

Single point of contact is assigned for examiner communications

Governance, Registration, and Organizational Records

Form ADV Parts 1 and 2 are current and match the firm’s services and disclosures critical (required)

Yes No N/A

Ownership, control person, and affiliate structure documentation is current critical (required)

Yes No N/A

Board, committee, or management meeting minutes are organized and retrievable

Yes No N/A

Code of ethics and annual acknowledgments are available critical (required)

Yes No N/A

Business continuity and disaster recovery plan is current

Yes No N/A

Compliance Program and Supervision

Written compliance policies and procedures are current and approved critical (required)

Yes No N/A

Annual compliance review report is completed and retained critical (required)

Yes No N/A

Compliance testing schedule and results are documented

Yes No N/A

Supervisory review evidence for exceptions and escalations is retained critical (required)

Yes No N/A

Regulatory filings, amendments, and correspondence are organized critical (required)

Yes No N/A

Client Agreements, Disclosures, and Communications

Advisory agreements are current and signed critical (required)

Yes No N/A

Fee schedules, billing support, and fee calculation evidence are available critical (required)

Yes No N/A

Marketing materials, website content, and performance presentations are archived critical (required)

Yes No N/A

Client complaints and related responses are logged and retrievable

Yes No N/A

Client communications retention process is documented

Yes No N/A

Trading, Custody, and Books and Records

Trade blotter, order records, and allocation support are retained critical (required)

Yes No N/A

Best execution review materials are available critical (required)

Yes No N/A

Custody analysis and surprise exam documentation, if applicable, are available critical (required)

Yes No N/A

Books and records retention index identifies where core records are stored critical (required)

Yes No N/A

Valuation, pricing, and portfolio reconciliation support is organized

Yes No N/A

Supervised Persons, Training, and Remediation

Supervised persons list is current and includes roles and reporting lines critical (required)

Yes No N/A

Required training completion records are available

Yes No N/A

Prior exam findings, deficiencies, and remediation status are documented critical (required)

Yes No N/A

Open issues tracker includes owner, target date, and evidence of closure critical (required)

Yes No N/A

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Run: SEC and State RIA Examination Preparation Document Request Checklist

Exam Scope and Request Log

Governance, Registration, and Organizational Records

Compliance Program and Supervision

Client Agreements, Disclosures, and Communications

Trading, Custody, and Books and Records

Supervised Persons, Training, and Remediation

Get your results