MOCK EXAMINATION

Overview

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Are you worried about what an examiner will find? Have you been cited for deficiencies in the past and are worried you haven’t made all the necessary changes to your compliance program? Do you want to make sure you are ready for your first examination?

Do you even know what could happen if you fail your examination and end up fined, or worse, with an SEC Enforcement action on your plate?  Read our FREE report, “10 Things Advisers WISH They Knew BEFORE Their Examination Led to an SEC Enforcement Action“.

An examination by your state’s securities division or the SEC is no joke. Just take it from Karen Bordonaro, CCO for Demming Financial Services Corp. The SEC examined her firm for the first time and it took two people five days, working up to 10 hours a day, to gather all the information the examiners asked for . She was given a list of 18 to 20 areas that she needed to supply information for, and theirs was a limited scope examination!

Examinations are no joking matter.  And you want to make sure you find the right provider to get you ready for one.  Just ask Phillip Statler.

But if you want to enter into your next examination with confidence, be able to show those examiners what a ROCKSTAR you are and get the most out of every single dollar you invest in your business, then this the best package of services you can ever buy.
1. THE ULTIMATE NO HOLDS BARRED EXAMINATION READINESS PROGRAM INCLUDES:
2. PLUS, YOU WILL RECEIVE:
3. PLUS, YOU GET THIS BONUS!
By now you’re probably wondering “How much does this cost?”

Completing your compliance tasks is tedious but a necessary evil. A lot of times though, the person in charge of compliance is the owner (who doesn’t want to do it) or an employee or IAR who is tasked with doing it (but doesn’t really understand it). This just means that the compliance tasks aren’t done or aren’t done to the minimum required regulatory standard.

So why are you going at it alone? Find out what’s included and pricing below.

Undergoing a mock SEC examination will:

My RIA Lawyer’s Mock Examination is executed in four stages

OUR PROCESS

Off-Site Review

As the SEC would do, we request a series of documents based on the most current requests coming from SEC examiners.

Off-site Exam Report

You then get a written summary of the findings as well as a recommended schedule for remediation of deficiencies. We also categorize deficiencies by risk level so that you can tackle the biggest issues first.

Onsite Mock SEC Exam

Our compliance professionals visit your firm’s offices and conduct a live mock SEC Exam through a series of exercises and interviews of the firm’s staff and personnel. We conduct live testing of your firm’s client files, email retention, books and records storage and more.

Remediation

We work with your senior management and compliance team or compliance consultant to ensure proper execution of remediation tasks.

What does this mean? You get to go golfing on a beautiful sunny day while a LAW FIRM takes care of cleaning up your compliance program and making sure the regulators don’t find anything to fine you, for just $995 a month.

Yup, that’s it.

THIS IS ALL COVERED BY MY RIA LAWYER’S
GOLD CERTIFICATION.

That means, we will certify your compliance program as having met the minimum regulatory requirements of the SEC. As long as you stay in the program, we will continue to certify your compliance program.
So why are we offering this service with our gold certification?

It’s really quite simple.  First, we KNOW that our program will get your firm ready for your examination and get your compliance program in tip top shape.

But, we also realize you are probably skeptical, so we wanted to remove any hesitation or doubt you may have.  Second, we trust you to be fair and not take advantage of us or our certification.

If you are ready to start THE ULTIMATE NO HOLDS BARRED EXAMINATION READINESS PROGRAM, simply click below.