Compliance Quiz

Test your compliance knowledge with the quiz below. The answers might surprise you!


Compliance Quiz

1 / 10

How would you assess your approach to compliance obligations of your firm?

2 / 10

Does my firm need to have the new ADV Part 3?

3 / 10

Can a firm use an outsourced Chief Compliance Officer?

4 / 10

What is your view on a “Mock Audit”?

5 / 10

Are technology compliance solutions good enough for a small firm compliance program?

6 / 10

How much should compliance help cost per month?

7 / 10

The type of compliance help I need must be qualified and therefore must be?

8 / 10

What is the top compliance headaches for investment advisory firms?

9 / 10

Your view on Cyber Security is best described as:

10 / 10

Form ADV with all of its parts:

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