Timeline, Triggers & Tactics for Success
Today’s SEC examinations are more targeted, more data-driven and more focused on how firms actually operate, not just what their policies say.
This comprehensive guide walks through every phase of the examination process, explains what attracts regulatory attention and outlines practical strategies to help investment advisers and private fund managers prepare with confidence.
What You’ll Learn
Inside this guide, you’ll discover:
- How the SEC determines which firms to examine
- The five phases of an SEC examination and what to expect during each
- The regulatory priorities shaping today’s examinations
- Common mistakes that cause exams to expand in scope
- How mock exams help firms identify gaps before regulators do
- Practical strategies for building a state of continuous exam readiness
Most firms prepare for an SEC exam after they receive the notification letter.
The most prepared firms begin long before.
Drawing on ACC’s experience supporting firms throughout the examination lifecycle, this guide provides practical insight into how SEC exams have evolved, where firms most often encounter challenges and how to strengthen your compliance program before regulators arrive.
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