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.
SEC NEWS
SEC NEWS
- SEC Awards $20 Million to Whistlebloweron November 28, 2022 at 2:32 pm
The Securities and Exchange Commission today announced an award of $20 million to a whistleblower who provided new and critical information that led to the success of an enforcement action.In determining the appropriate award amount, the SEC […]
- SEC Publishes FY22-26 Strategic Planon November 23, 2022 at 5:05 pm
The Securities and Exchange Commission today released its Strategic Plan for fiscal years 2022 to 2026, outlining agency objectives to fight against fraud, maintain a robust and relevant regulatory framework, and sustain a skilled and diverse […]
- SEC Charges Goldman Sachs Asset Management for Failing to Follow its Policies and Procedures Involving ESG Investmentson November 22, 2022 at 9:00 pm
The Securities and Exchange Commission today charged Goldman Sachs Asset Management, L.P. (GSAM) for policies and procedures failures involving two mutual funds and one separately managed account strategy marketed as Environmental, Social, and […]
- SEC Seeks to Stop the Registration of Misleading Crypto Asset Offeringson November 18, 2022 at 3:45 pm
The Securities and Exchange Commission today instituted administrative proceedings against American CryptoFed DAO LLC (American CryptoFed), a Wyoming-based organization, to determine whether a stop order should be issued to suspend the registration […]
- SEC Charges Unregistered Brokers That Facilitated More Than $1.2 Billion in Primarily Penny Stock Tradeson November 17, 2022 at 7:28 pm
The Securities and Exchange Commission today charged Jeffrey K. Galvani, Stuart A. Jeffery, and two New York-based entities they controlled with operating as unregistered broker-dealers that facilitated more than $1.2 billion of securities […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con November 29, 2022 at 9:14 pm
Proxy Rules and Schedules 14A/14C
- Tanla Platforms Limitedon November 17, 2022 at 10:10 pm
Response of the Office of Mergers and Acquisitions
- PagoNxt Merchant Solutions, S.L.on October 31, 2022 at 8:15 pm
Response of the Office of Mergers and Acquisitions
- Exchange Act Sections 13(d) and 13(g) and Regulation 13D-G Beneficial Ownership Reportingon October 7, 2022 at 8:20 pm
Section 105. Rule 13d-3 - Determination of Beneficial Ownership
- Exchange Act Section 16 and Related Rules and Formson October 7, 2022 at 8:20 pm
Section 109. Rule 16a-1 - Definition of Terms