The Securities and Exchange Commission announced it intends to visit all advisors who have never been examined before 2015 ends.

The SEC prefers their visits to be a “surprise”, so they typically give you only a 1-2 days to collect your documents. One of my managers received notice the Wednesday before Thanksgiving that the auditors would arrive at 8am the Monday after Thanksgiving.  He was expected to have the complete list of items ready and waiting for them.

While a complete, accurate and reconciled PortfolioCenter database is of great value during an audit, it is not a magic-bullet.  Here’s a collection of articles to help you survive for your review.

SECAudit-580What documents to Prepare for an SEC Audit SEC Audit
Getting data out of PortfolioCenter
SECTradeBlotter-580Producing a Trade Blotter
Santa Claus Looking Down
The “Santa Complaint”
Dropped Ice Cream Cone
Tracking dropped clients
Color map of USA
Client Count by State
How to Justify PortfolioCenter Fee Calculations CawdorCastle-580
10 Easy Steps to Protect Client Data
Housekeeper-580How to prepare PortfolioCenter
SEC-AUMHow to answer ADV Item 5F using PortfolioCenter Waterfall-580Why the numbers changes on my PortfolioCenter Performance Report SONY DSCWhy the PortfolioCenter ending value differs from the brokerage statement

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