Regulatory Exam Preparations

When regulatory agencies such as the SEC, FINRA or the states come knocking, will your firm be ready to respond to their interview questions and lengthy document requests or demonstrate the firm’s culture of compliance through your risk assessment process?

Your firm’s demonstration of compliance with regulatory requirements is at the forefront of every regulatory examination. Investing the time and resources needed to answer these questions will help with the long-term preparation required for regulatory examinations. Jacko Law Group, PC (“JLG”) provides customized personal attention to prepare all of our clients for their regulatory examinations.

Mock Exams

At JLG, we help broker-dealers, investment advisers, hedge funds, investment companies, and private equity firms assess their readiness for regulatory examination. We conduct mock exams on a periodic basis. To begin the process, we will provide you with the latest regulatory exam initial document request list, perform in-person interviews, and assess internal systems and controls. At the conclusion of the regulatory mock examination process, we will provide our findings to your senior management team, which includes a list of recommended actions to advance compliance program efforts.

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