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REGULATORY EXAMINATION PREP SERVICES

Our Regulatory Examination Preparation Services consists of the following:

  • Pre-review of Firm documentation to ensure documentation is examination ready.

  • Phone or virtual consultation to prepare for regulatory examination interview.

  • Take part in the regulatory examination interview.

  • Serve as the Firm's liaison during the regulator examination process.

  • Assist with post regulatory examination response and corrections to the following: 

    • 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

The pricing for our regulatory examination preparation services ranges from $3,500 - $15,000, dependent on the complexity of your Firm's business model and regulatory jurisdiction.

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