Independent IA Audits

ACI is equipped to perform audits for Dual Registrants who are regulated by both the 34 Act and the 40 Act to achieve a harmonization of regulation. For these Dual Registrants, that perform both Investment Advisor and Broker Dealer services, ACI has the capability to perform an independent audit to review the compliance programs in place for both branches of the business with the same type of regulatory review that would be conducted by the SEC in an audit.




To inquire into ACI's Independent IA Audit services, contact us at info@acisecure.com.
Accounting Ad