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 as possible so that your firm has the time and resources to ensure the actual regulatory exam goes smoothly.
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:
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If three years have passed since your last regulatory examination.
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If your investor size or base fits the SEC focus.
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If a new employee or team member worked for a firm
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that was examined.
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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.
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Conduct a pre-review of your documentation to make sure it’s ready.
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Have a telephonic or virtual consultation to prepare for your interview.
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Join the regulatory exam interview.
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Serve as your liaison during the regulatory examination process.
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Help with any post-examination response and corrections to:
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​Help with any post-regulatory examination response and corrections to:​
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Form ADV Part 1A & 1B
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Form ADV Part 2A & 2B
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Form U-4
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Form U-5
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Advisory Agreements
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Compliance Manual
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Privacy Policy
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Code of Ethics
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Business Continuity Plan
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Form CRS (SEC Firms only)
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 $4,000 to $20,000.
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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.