Regulatory examinations are on the rise, and it is incredibly important to be prepared for when, not if, your firm is examined by the SEC or another regulatory authority. SEC and state-registered investment advisers are generally interested in conducting a mock examination within the first few years of becoming registered (as they can be examined at any time once registered), as well as every few years thereafter.
Coast to Coast Compliance can conduct a mock SEC examination which includes the requesting and reviewing of key compliance and business documents, as well as the interviewing of various firm personnel. We will also provide a final exam interview, or written report if requested, covering the scope of the mock SEC examination, relevant findings, and any resulting recommendations. By proactively addressing any areas for improvement, while guiding investment advisers through the process of an SEC exam, Coast to Coast Compliance can help give your firm and staff the confidence and preparedness to succeed in an SEC examination.
Other Advisers/Financial Firms: Also, for other types of investment advisers or financial services firms, a similar project may become relevant in preparation for registration with a particular regulatory authority, or otherwise become of interest to the firm through the course of due diligence on behalf of a service provider, investor request, etc.