Corrective Action Exams

Mock CAR Exams

  1. Compliance Services
  2. Investment Adviser
  3. Mock CAR (Corrective Action Review) Exams

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

REQUEST MORE INFORMATION

 

For more information on how ACA can help you prepare for CAR exams and/or demonstrate proactive remediation of compliance issues following an exam, please complete our contact form or call Damon Zappacosta at (212) 951-1030.

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