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Common exam deficient items*



Books/Records
  1. Form ADV Part 1, 2A, 2B Brochure
  2. Policies/Procedures Manual
  3. Advertising (performance reports, websites, etc.)
  4. Advisory forms (agreements, privacy notices, disclosures)


Forensic Testing
  1. Client billing procedures/fees
  2. Trading/Portfolio Management
    (trading with client objectives, fees, commissions)


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