Mock SEC Audit Services
The SEC is targeting registered investment advisers across the globe for inspections as part of its risk-focused exam strategy. The Commission announces these inspections via telephone and follows the call with a formal letter and initial information request list. Domestic advisers, as well as firms based as far away as Hong Kong and as close as Canada, have recently received these inspection notices.
ACA specializes in preparing domestic and foreign-based registered investment advisers for SEC examinations through our mock SEC audits. Our team of former SEC, FINRA, NYSE, NFA, FSA, and state regulators, as well as former senior compliance managers from prominent financial institutions, has the regulatory experience and expertise required to conduct these inspections effectively and efficiently.
We welcome the opportunity to speak with you. For more information on our mock SEC audit services, please contact Luke Wilson at (312) 505-0307 or email@example.com.
To receive a complimentary copy of the SEC’s information request list for inspections of domestic investment advisers or advisers operating from a principal place of business outside the U.S., please complete the following fields.