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 by taking some valuable inputs from a regulatory exam lawyer.

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. Regulatory exam attorneys at MAH Advising, LLC (MAH) provide customized personal tutoring and attention to our clients to prepare them for regulatory examinations.

Mock Exams

At MAH, we have an experienced team of regulatory exam preparation lawyers 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.

The regulatory examinations enforcement counsel guides you with the do’s and don’ts of Document Production for the SEC and prepares your team for SEC visit.

For additional help or information related to regulatory exam management, talk to the team here at MAH Advising LLC. Our regulatory examinations attorneys have very good experience in helping brokers and firms navigate their FINRA forms.