CCO’s Guide to Surviving a Regulatory Examination

Have you just been selected for a regulatory examination? Are you prepared for one even if you haven’t been? Every firm will go through an examination at some point. In this guide, we summarize the collective experience of our CCO consultants to help you make it through your next exam as cleanly as possible. We provide the kind of practical tips and insights you won’t find in other examination resources.

What should I expect from and how should I best prepare for a regulatory examination?

Whether you’re going through your first or fourth examination, the process can be stressful. The possibility of deficiencies, fines, or enforcement actions that will hurt your business is very real.

To give you more confidence, we’ve gathered more than 80 years of collective experience into this guide that will explain what to expect, how best to prepare, and how to professionally and proactively manage the exam process.

In this free guide, you’ll learn

  • The most important elements to have in place BEFORE you get selected for an examination
  • How the typical examination process gets started
  • The types of documentation you could be requested to provide
  • What to expect during the onsite visit
  • Practical tips for working with examiners
  • How to communicate expectations and protocols with your firm’s staff
  • How to manage the process post-examination