Through our participation in more than 100 regulatory examinations as Chief Compliance Officers, we provide expert guidance to clients through Mock SEC Examinations.
The SEC Mock Examination replicates a typical SEC examination of the investment adviser and/or investment company. The Mock Examination provides an assessment of the suitability of design and the effectiveness of implementation of the registrant’s compliance program.
The SEC Mock Examination is typically an inspection of records in response to normal advance document and information requests from the SEC. It can also entail detailed interviews of key adviser personnel, and pertinent trend and focused forensic testing of processes and activities designed to uncover material gaps and/or weaknesses in our client’s regulatory compliance control environment.
Because of our deep experience as CCOs, we are in the unique position of understanding current regulatory trends and having the hands-on experience to help clients identify issues in their compliance programs before they become violations.