Mock CAR (Corrective Action Review) Exams

Mock CAR Exams

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SEC examiners expect investment advisers to demonstrate that they have proactively remedied any gaps and weaknesses identified in previous SEC examinations. ACA’s mock CAR exams help firms confirm that the corrective measures they have taken are appropriate and have been effective.

ACA MOCK CAR EXAMS INCLUDE

 

  • A review of the adviser’s SEC examination summary letter
  • A review of the adviser’s written response to the SEC staff
  • Document reviews, compliance testing, and interviews with firm personnel to assess the deficiencies identified by SEC staff and evaluate the adviser’s remedial action
  • A resolution matrix to use in discussions with regulators to confirm that issues have been fixed
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Insights & Alerts

SEC Announces Settlement with Broker-Dealer for Failure to Retain Text Messages
September 29, 2020
SEC Announces Settlement with Broker-Dealer for Failure to Retain Text Messages
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September 29, 2020
The Future of Risk and Compliance in the Age of RiskMutation™
September 29, 2020
MiFID 10% Depreciation Rule: The End of the FCA’s Flexible Approach is Nigh
September 23, 2020
Case Study: Portfolio Risk Management for Telecom
Summary of FINRA Regulatory Actions in Q2 2020
September 17, 2020
Summary of FINRA Regulatory Actions in Q2 2020
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September 17, 2020
SEC OCIE Warns of Increased Risk of Credential Stuffing
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September 17, 2020
FCA confirms re-opening of the Temporary Permissions Regime – Brexit planning for European Asset Managers
September 17, 2020
New Guidance for Fitness and Propriety Assessments and Conduct Rules Training under the FCA’s SM&CR
Joint Statement Issued About BSA Due Diligence Requirements for Customers
September 11, 2020
Joint Statement Issued About BSA Due Diligence Requirements for Customers

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