Regulatory Compliance & Exam Readiness
Annual reviews, supervisory procedures, and examination preparation.
Regulatory examinations do not reveal problems; they confirm them. The work that protects a firm happens well before an examiner arrives. We conduct annual compliance reviews, maintain and update written supervisory procedures, and prepare clients for SEC and FINRA examinations with the specificity that exam preparation requires. Our senior consultants have worked through multiple examination cycles with their clients, and understand what regulators prioritize in practice.
Annual compliance program reviews under SEC and FINRA requirements
Written supervisory procedures (WSPs) development and maintenance
SEC examination preparation, mock exams, and document readiness
FINRA examination preparation and deficiency response
Regulatory correspondence management
Internal audit and compliance testing programs
Ongoing regulatory change monitoring and consulting
How do you get started? A conversation is sufficient — no defined scope or formal brief required to make initial contact.
Speak with a consultant
We work with a select number
of institutions.
Our consulting model requires proximity to each client. We keep our client base selective; it is the condition of the service we provide.