Regulatory Examination Prep Services

Service Description

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: o Form CRS (SEC Firms only) o Form ADV Part 1A & 1B o Form ADV Part 2A & 2B o Form U-4 o Form U-5 o Advisory Agreements o Compliance Manual o Privacy Policy o Code of Ethics o 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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