Trillium’s Compliance Health Check service provides an independent perspective of your compliance program.
A health check delivers insights and answers questions about your compliance program’s strengths, areas of improvement and SEC exam readiness from an objective standpoint, free from daily, weekly, or monthly involvement.
Scope of Services
The review focuses on twenty-one areas including the fees and expenses, management fee calculations, code of ethics, regulatory filings, books and records, advertising and marketing, complaints, social media, and much more.