Regulatory Examinations Enforcement Counsel

Regulatory Exam Preparation

When your company is prepared for the interview questions and detailed document requests of regulatory agencies like the SEC, FINRA, or the states, as well as when your firm is able to demonstrate your firm’s culture of compliance through your risk assessment process, you can avoid the dreaded experience of having regulatory agencies such as the SEC, FINRA, or the states knock on your door.

A company’s ability to demonstrate compliance with regulatory requirements is the critical component of every regulatory examination. The long-term planning necessary for your company to respond to these inquiries during regulatory examinations will be aided by an investment of time and resources. MAH Advising, LLC (MAH) provides customized personal tutoring and attention to our clients in order to prepare them for regulatory examinations.

Mock Exams

At MAH, we assist investment advisers, broker-dealers, hedge funds, private equity companies, and investment companies in determining their level of readiness for regulatory inspection. Mock exams are offered on a regular basis.

We start the process by giving you a list of initial documents needed for the regulatory exam, after which we conduct in-person interviews and evaluate internal systems and controls. We present your management team with our findings, along with a list of suggestions to boost the efficiency of your compliance program.