Is Your Firm Ready for Its Next SEC Exam?
Most firms believe they’re prepared.
Few have actually tested whether their compliance program would withstand today’s SEC examination process.
Our SEC Exam Readiness Assessment helps you evaluate your firm’s preparedness across the same areas regulators routinely examine.
What’s Included?
This practical self-assessment walks you through the key areas that can influence the outcome of an SEC examination, including:
- Governance and compliance oversight
- Marketing Rule compliance
- Books and records
- Electronic communications
- Cybersecurity and vendor oversight
- Portfolio management practices
- Form ADV disclosures
- Employee interview readiness
- Exam response planning
An SEC examination isn’t simply a review of policies. It’s an evaluation of whether your documentation, operations and employee understanding are fully aligned.
This assessment is designed to help firms identify potential gaps before they become regulatory findings.
What Happens Next?
Once you’ve completed the assessment, you’ll have a clearer understanding of your firm’s current level of exam readiness.
If your responses reveal areas requiring additional attention, ACC’s mock exam service provides an independent review that mirrors the structure and expectations of an actual SEC examination—helping you validate your program, prioritize improvements and strengthen your readiness before regulators arrive.
Download the SEC Exam Readiness Assessment
Complete the form below to receive your complimentary assessment.
