Services

What To Expect

Maybe you already know that your firm is due for a mock audit or that you need help conducting ongoing compliance reviews. On the other hand, you may be seeking professional compliance assistance but are not sure where to begin. Whatever your needs, NorthPoint tailors its services to provide the level of assistance that is specifically desired to meet your compliance objectives. How do we do this? We start by acquiring an understanding of your firm and its compliance program as follows:

• We review Parts 1 and 2 of your Form ADV
• We discuss with you the current state of your compliance program

Shortly after these reviews and discussions, you are provided with a proposal outlining the scope of the project discussed, including objectives, methodologies, identification of responsibilities and fees. Upon your acceptance, the project is scheduled and we move forward with providing you the compliance assistance that you desire.