Mock SEC and State examinations

Whether state or SEC registered, RIAs can expect rigorous examinations of their books and records. In some cases, examinations may be prompted by a tip or complaint. As a result, the experience may be much more adversarial than has been the case in the past.

In many instances, firms will only have a few days to prepare for an in-depth examination. RIAs may be required to supply hundreds of documents with short notice.
With so much at stake, RIAs need not go it alone. RIA Compliance Group can assist you in preparing for the most difficult exam. Our mock audits alert you to potential compliance problems before an examiner gives you the bad news in person. Make sure you’re ready for these unexpected examinations by taking part in our well thought out mock SEC and State examinations. Once you’re comfortable with your readiness at the mock exam level, you will be ready and more confident once a real SEC and State examination. Contact us to learn more about our mock exams and how we can help prepare you for the future.