Fix issues before they become problems.
Prepare your business for SEC or state regulatory exam. A mock exam or review of controls and documents will identify weaknesses in business systems before the regulators’ inspection.

Regulatory Risk review 

    ·         Compliance program appraisal and solutions for improvements 
    ·         Mock SEC and state exams and assessment of compliance program
    ·         Forensic testing of compliance processes 
    ·         Performance presentation evaluation 
    ·         Best execution reviews & analyses 
   ·         Specialized compliance examinations on focused areas of concern

Review services are based upon actual procedures used by regulators and problems they commonly find.