MOCK REGULATORY EXAMS INCLUDING MOCK ARROW VISITS

As compliance continues to be a key component of an effective business, many firms are undertaking mock regulatory exams/visits. This not only gives firms the chance to prepare for the real thing, but is also a very useful tool in identify gaps in the compliance program and can serve as a useful product to show potential investors.

All of our specialists have worked on many regulatory exams/visits and therefore our mock regulatory exam methodology is designed to mirror a real exam. Our exams/visits follow the regulator’s structure of document request, interviews, onsite review and report output. As always, we are happy to tailor the exact level of detail and scope of the exam to fit a client’s needs.