Regulatory Exam Preparation

When your company is prepared for the interview questions and detailed document requests of regulatory agencies like the SEC, FINRA, or the states, and when your firm can demonstrate a strong culture of compliance through your risk assessment process, you can avoid the dreaded experience of having these agencies knock on your door by preparing with the right regulatory exam support.

A company’s ability to demonstrate compliance with regulatory requirements is the critical component of every regulatory examination. The long-term planning necessary for your company to respond to these inquiries will be strengthened by an investment of time and resources. MAH Advising provides customized personal guidance and attention to prepare firms for regulatory examinations.

Mock Exams

At MAH, our experienced regulatory exam team assists investment advisers, broker-dealers, hedge funds, private equity companies, and investment firms in determining their level of readiness for regulatory inspection. Mock exams are offered on a regular basis.

We start the process by providing a list of initial documents needed for the regulatory exam, then conduct in-person interviews and evaluate internal systems and controls. We present your management team with our findings, along with a list of suggestions to increase the effectiveness of your compliance program.

The regulatory examinations enforcement counsel guides you with the do’s and don’ts of document production for the SEC and prepares your team for SEC visits.

For additional help or information related to regulatory exam management, talk to the team here at MAH Advising. Our regulatory examination professionals have extensive experience in helping brokers and firms navigate their FINRA forms.