The SEC targets registered investment advisers for examination based upon its risk based initiatives. Those advisers that are prepared and understand what to expect generally experience a better outcome.
Our Mock SEC examination process is designed to demystify the examination process and reduce the “fear of the unknown”. Our experienced consultants take the client through the SEC examination process, identify issues that may result in SEC exam letter deficiencies and advise on effective ways to take corrective action.
We cover current SEC exam focus areas and our approach includes interviews, analysis and testing, review of compliance policies and procedures, disclosure documents, client agreements and other relevant documentation. We present our findings and recommendations orally and submit a written report if requested by the client. Our consultants provide guidance and expertise that comes from many years of experience conducting mock exams and participating in SEC exams on behalf of our clients.