Exams

REGULATORY EXAM SERVICES
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Be Prepared and Confident with Examinations

Gain peace of mind about achieving FINRA compliance with our comprehensive examinations.

Anti-Money Laundering Independent Testing

With our detailed AML testing, satisfy the requirement for independent anti-money laundering testing under FINRA Rule 3310. Our extensive review includes confirming the integrity and accuracy of:

  • reporting procedures of large currency transactions
  • forms filed with regulators
  • recordkeeping activities and adherence to in-house record retention policies
  • know-your-customer and CIP policies through sampling of new account documentation, account reviews and transaction reviews
  • AML supervisor’s records of transaction and account monitoring, and follow-up on reported unusual activity

Comprehensive Mock FINRA Examination

Uncover potential compliance issues with our mock FINRA exam that closely follows the FINRA checklist:

  • review of your books and records
  • review of your manuals, plans and procedures
  • documentation of your supervisory compliance structure

Thorough Branch and Non-Branch Office Examinations

Meet FINRA Rule 3010 for review of offsite office locations with our offsite office examination. This encompasses a review of the firm’s compliance with required office procedures — including supervision and recordkeeping — through random review of books and records.

Preparatory Office Set-Up Visits

Get prepared for your first FINRA visit and be sure you have the right files in place to meet the books and records requirements. Choose a packaged mock FINRA exam with a checklist and file examination or an interactive onsite compliance question-and-answer session customized to meet your firm’s specific needs.

RIA Mock Exams

Our mock examination for Investment Advisers follows the format of an SEC exam.  The investment adviser firm is reviewed in detail including: compliance manual, ADV parts I and 2, client agreement, Trade allocation procedures,  Best execution procedures, Code of Ethics, Soft dollar arrangements, an appropriate sampling of client agreements and much more.  For a specific quote for your firm, please call (603) 434-3594.

Regulatory Exam Assurance

Under the PartnerPlus program, Regulatory Compliance will provide UNLIMITED telephone consulting to assist the Firm in responding to any regulatory requests for information or compliance issues raised.

To learn more about any of our compliance services, contact us or call (603) 434-3594.