“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
The Securities and Exchange Commission continues to increase its exam pace, especially for those investment advisers that are newly registered, have not been examined within the last three years, or are engaged in activities that are identified as high-risk by the SEC. Understanding how your firm stands up to regulatory scrutiny is essential to properly mitigate risk and address weak points before they create compliance challenges.
Leverage the expertise of COMPLY consultants, formerly NRS, to test your firm’s preparedness for examination. The mock examination evaluates the ability and preparedness of your firm’s key personnel, processes, and records to help determine if your firm will meet regulatory expectations.
The Mock Examination is executed in three stages:
Our expert consultant compliance professionals execute a comprehensive assessment of your firm’s compliance program, test it against applicable regulatory requirements and expectations, and help identify and remediate compliance risks. Reviews are tailored to fit your needs and include:
“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
“COMPLY’s customer support has major advantages over our previous vendor. For a start, they are quicker to respond, they seem to understand the product better and they understand the industry better.” – Chase Eldredge, Angel Oak Capital Advisors
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Are you ready for an SEC audit? Now, you can be. Bring in the experts to perform a mock audit or compliance review.
Download COMPLY’s latest report, which assesses how the evolving regulatory landscape is impacting PE deals and M&A activity.
