Mallon & Johnson will conduct focused reviews on an investment or adviser’s specific operations, including:

Fee Billing
IPO trading/flipping
Soft Dollar Mixed Usage
Trading allocations
Disaster recovery plans
Personal securities transactions
Client services, files and suitability
Advertising and Performance
Proxy-Voting Policies and Retention
Privacy Policy Compliance
E-Mail Retention
Books and Records

The fees for these discrete reviews are based on an hourly rate and a determination made at the outset with the client of how many hours it will take to complete the review.

previous