The SEC, FINRA and NFA conduct examinations of registered firms in a variety of ways. Greyline is here to ensure that you’re ready when that day comes.

Preparation. Greyline offers a mock regulatory examination or gap analysis to prepare you for the eventual reality of being examined. We will identify regulatory risks and potential weaknesses in your compliance program. Through document requests and in-person interviews, we take you through the examination process to prepare you to respond to the SEC, FINRA or NFA when you get that call, while avoiding unnecessary panic and disruption to your business.

Mitigation. Our team will help you create and implement examination protocols that are designed specifically for your firm. We will dive into the issues the regulators are focused on, and design a plan for any enhancements to your compliance program. We arm your firm with information and guidance based on the latest examination outcomes and our experiences with the SEC, FINRA and NFA.

Support. The Greyline team has extensive experience working at regulatory agencies and in-house financial services firms handling examinations. We will provide detailed guidance on how to best address any enhancements to your program, including best practices in the industry. Our goal is to ensure that post-review, your compliance program is stronger and your firm is ready for your next  examination.

Be ready when the SEC, FINRA or NFA come calling. Contact us to set up your mock audit or gap analysis.

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