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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Compliance Deadline Approaching for Regulation Best Interest and Form CRS
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Abide Closure – What Happens Next?
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June 16, 2020
Widespread Telecom Outages Reported: Contingency Preparedness Recommended

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