SEC Mock Examination Services

The General Counsels, Chief Compliance Officers and the compliance staff members of many registered investment advisers can soon expect the stressful experience of a U.S. Securities and Exchange Commission (“SEC”) examination.

Duff & Phelps has identified the key focus areas and best practices for advisers to address prior to an examination to most effectively obtain a positive outcome. Based on our experts’ extensive industry experience and having successfully assisted with numerous SEC examinations throughout their careers, we have devised a methodical approach to preparing for and navigating any SEC examination.

Hear insights from Chris Lombardy, Head of U.S. Compliance Consulting at Duff & Phelps, on our mock exam process and why mock exams are essential for investment advisers.

 

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To prepare your firm for a virtually inevitable SEC examination, we offer a comprehensive SEC mock examination service that includes dispatching an experienced team of professionals to your office to guide your firm through the examination process and to share best practices with your staff members. This competitively priced SEC mock examination includes the following:

  • Interview preparation for key staff members based on questions asked during actual SEC examinations

  • Guidance on how staff members should conduct themselves while the SEC examiners are on site

  • Review and critique of compliance documentation and testing performed by the adviser

  • Exit interview describing our findings and recommendations

  • Customized written report describing our findings and recommendations, if requested

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