Don't worry about the SEC regulators at your door—or on the way
You know it’s important to have current policies and procedures. You also know you’ve got to implement those policies and procedures to comply with SEC rules and regulations. But who has the time to dot every I and cross every T when clients need attention and business needs to grow?
Relax. We’ll get your firm ready for that dreaded—and inevitable—regulatory visit so you can rest assured that your RIA compliance program is healthy—and compliant.
We provide Mock SEC Exam Services to get your compliance program exam ready
Joot’s Mock SEC Exam Services are tailored to your firm’s needs. Our services include, but are not limited to, the following:
- Create and send a document request list that mirrors an SEC exam request list and that’s specific to the services and products your firm offers
- Review each provided document
- Review the compliance procedures manual to ensure your firm has procedures that meet business needs (per SEC rules and best practices)
- Interview personnel of the firm
- Discuss and test a sample of the requested items
- Provide feedback and advice on the interview process and how to prepare for an SEC exam
- Provide written recommendations and a summary of the mock exam
We can conduct the mock exam either offsite or onsite at your office. If you recently received an exam request list from the SEC, we can help you navigate the process in real time as well.