Category: Alerts

Alaric Compliance Alert: SEC Exams on the Rise

The U.S. Securities and Exchange Commission (“SEC”) confirmed in its 2017 Agency Financial Report that it examined 15% of registrants this year – a 50% increase from just three years ago.

With the SEC planning to keep its Office of Compliance Inspections and Examinations even busier in the year ahead, will you need help getting your firm ready for what this might bring to your door? In this Alert, Preparing for an SEC Exam, Alaric provides some pointers on what to expect and steps to prepare and execute a successful examination.

How We Can Help

  • SEC Mock Examinations to identify strengths as well as weaknesses in the Firm’s compliance program and to provide recommendations for additional testing, monitoring and other internal controls or processes for the firm to better conform to prevailing advisory industry compliance best practices as well as the expectations of SEC examiners and other regulators.
  • Annual Compliance Program Reviews that bring a fresh perspective to the required assessment of your firm’s compliance policies and procedures to ensure their adequacy of coverage, suitability of design and effectiveness of implementation.
  • Regulatory Exam Prep and support to help you respond to inquiries and requests from regulators.

What sets Alaric Compliance apart?

As an industry leader with nearly 300 years of cumulative financial services compliance experience, we have the expertise to help you.

Alaric’s team members have managed over 100 regulatory examinations as Chief Compliance Officers. We have also conducted hundreds of mock SEC audits, focused reviews and other compliance-related consulting projects. Leveraging this experience, we are in the unique position of both understanding the current regulatory trends and hot topics and having the practical, hands on experience that enables us to offer our clients an approach to regulatory compliance that is founded on a deep knowledge and every-day application of industry best practices.

Call us at 1-888-243-2448 to learn more about how we can help you prepare.


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