Document Library
| Document | Category | Version | Last Updated | Actions |
|---|---|---|---|---|
|
SEC Registration & Disclosures
|
Regulatory | v4.2.1 | 2025-09-15 |
|
|
AML & KYC Policy Manual
|
AML/KYC | v3.8.0 | 2025-10-02 |
|
|
Data Privacy & Retention Policy
|
Privacy | v5.1.3 | 2025-08-20 |
|
|
SOC 2 Type II Audit Report
|
Security | FY2025 | 2025-07-30 |
|
|
Client Suitability & Fiduciary Standards
|
Policy | v2.9.4 | 2025-09-28 |
|
Active Compliance Frameworks
SOC 2 Type II
Certified
Comprehensive evaluation of security, availability, processing integrity, confidentiality, and privacy trust service criteria.
GDPR / CCPA
Compliant
Full data subject rights implementation, cross-border transfer mechanisms, and automated consent management workflows.
FINRA / SEC
Registered
Registered investment adviser with full adherence to Reg BI, custody rule, and periodic examination requirements.
ISO 27001:2022
Certified
Information Security Management System (ISMS) covering risk treatment, access control, and incident response protocols.
Audit Schedule & Reporting
| Audit Type | Scope | Frequency | Last Completed | Next Scheduled |
|---|---|---|---|---|
| Internal Compliance Review | Policy adherence, transaction monitoring | Quarterly | 2025-09-30 | 2025-12-31 |
| Third-Party Vendor Assessment | Cloud providers, data processors, APIs | Bi-Annually | 2025-07-15 | 2026-01-15 |
| Penetration Testing | Web app, infrastructure, mobile APIs | Semi-Annually | 2025-08-22 | 2026-02-22 |
| Regulatory Filing Review | SEC Form ADV, State RIA registrations | Annual | 2025-05-10 | 2026-05-10 |
Compliance Contact & Incident Reporting
Office of the Chief Compliance Officer
For policy questions, regulatory clarifications, or compliance consultations, contact our dedicated team.
- CCO: Eleanor Vance, CFP®, CAMS
- Email: compliance@wealthguard.com
- Secure Line: +1 (888) 555-0199
- Hours: Mon-Fri, 8:00 AM - 6:00 PM EST
- Address: 200 Financial District, Suite 400, New York, NY 10005
Submit Compliance Concern
Secure, encrypted reporting channel for policy violations, suspicious activity, or regulatory inquiries.