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.