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REGULATORY EXAMINATION PREP SERVICES

Preparing for your regulatory examination can be overwhelming when you have other priorities that your firm needs to focus on throughout the day. Our regulatory examination preparation services aim to make this process as simple and straightforward as possible so that your firm has the time and resources to ensure the actual examination goes down perfectly.

 

When You Can Expect to Be Examined

While there is no hard and fast rule, there are some indications that your firm might be subject to examination soon, and these include:

 

  • If three years have passed since your last examination

  • If your investor size or base fits the SEC focus

  • If a new employee or team member worked for a firm that was examined

 

Why You Need Us in Your Corner

Our regulatory examination preparation services help you make a fantastic first impression. We’ll give you what you need to show that your firm is competent, accountable, and in control.

  • Conduct a pre-review of your documentation to make sure it’s ready

  • Have a telephonic or virtual consultation to prepare for your interview

  • Join the regulatory examination interview.

  • Serve as your liaison during the regulator examination process.

  • ​Help with any post-regulatory examination response and corrections to:

    • ​Form CRS (SEC Firms only)
    • Form ADV Part 1A & 1B

    • Form ADV Part 2A & 2B

    • Form U-4

    • Form U-5

    • Advisory Agreements

    • Compliance Manual

    • Privacy Policy

    • Code of Ethics

    • Business Continuity Plan

 

How We Price Our Regulatory Examination Preparation Services

Just like our professional auditing services, our regulatory examination preparation services are based on the complexity of your firm’s business model, as well as its regulatory jurisdiction. You can expect a quote that ranges from $3,500 to $15,000.

Reach Out to Us

To get in touch, please complete the contact form below and one of our dedicated team members will get back to you as soon as we can.

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