Mock SEC Exam Services

Mock SEC Exam Services

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The SEC targets registered investment advisers both domestically and across the globe for inspections as part of its risk-focused exam strategy.

ACA specializes in preparing both US and non-US-based advisers for SEC examinations through our mock SEC audits. Our team of former SEC, FINRA, NFA, FCA, 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, in very similar circumstances to an actual exam. Following an ACA mock exam, your firm will know what to expect and will be in a position to address any deficiencies.

SEC’s Information Request List

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.