 | | Forensic testing of trading / investments and execution
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 | | Regulatory filings monitoring
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 | | Personal email review
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 | | Personal trading and Intralinks / Syndtrack audits
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 | | Trade ticket audit
|
 | | Best execution / broker allocation / pricing / valuation review
|
 | | Monitoring trading and investment restrictions
|
 | | Marketing approval log maintenance
|
 | | Gifts and Entertainment log maintenance
|
 | | Code of Ethics breaches log maintenance
|
 | | World Check / AML new investor review / due diligence
|
 | | Investor side letter tracking
|
 | | Books and records retention and maintenance review
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 | | Continuing education programs log maintenance
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 | | Proxy voting audit
|
 | | Business continuity plan testing
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 | | Review of privacy policy and procedures
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 | | Information security / identity theft prevention
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