SEC Examination Preparation and Management

Each registered investment adviser, and even exempt advisers that are not yet registered, must prepare for the same inevitability. Eventually you will receive a call from the SEC announcing that they intend to examine your firm, or an unannounced visit from an exam team asking to review your books and records. The true test of your compliance program and preparations are how well you are prepared to take that call and perform in an examination.

As former SEC staff and compliance officers, CORE principals and team members have collectively conducted, supervised, or facilitated many hundreds of SEC examinations and know that process, how to prepare, what to expect, what is normal, what is concerning, and how to respond, far better than most. It is our goal to work together with clients from the beginning of our relationship, throughout each activity we undertake together with you over the life of the engagement, to prepare you to successfully navigate an SEC examination. When our clients do get that call, or knock on the door, we believe that they can do so confidently because their CORE team has successfully prepared them.

Our CORE team works alongside clients throughout the entire examination process to provide the resources, support, guidance, and expertise that is needed to successfully manage and conclude the examination and respond to any issues identified in subsequent communications or actions.

We invite you to contact us to discuss your needs in preparing for or managing a regulatory examination examination and request a copy of our full CORE Exam Playbook.