Mock Examinations

Nye will examine your firm's operations for compliance with SEC requirements and issue a confidential report to management outlining our audit findings with recommendations for corrective action. The examination will generally cover the following areas:

Form ADV/Brochure Disclosure and Delivery
Client Agreements
Registration Issues
Custody of Funds and Securities                       

Best Execution
Internal Controls
Books and Records
Portfolio Consistency with Client Objectives

Plus:

Testing for responsiveness to the SEC's emphasis on management's responsibility for active participation and oversight of compliance.

Testing for whether policies and procedures are adequate to prevent, detect, and correct violations of federal securities laws.

Testing of systems to determine that they produce the necessary documents to demonstrate on-going compliance and your compliance culture.

The mock examination will be structured to focus on the SEC's current concerns as they apply to your firm.

Fee estimates based on your particular needs are available upon request.

The goal is to demonstrate that your firm has done an assessment of its compliance and operating risks and has adopted:

Appropriate Policies & Procedures
Assigned Specific Responsibilities
Installed Testing Systems
Management Reporting


Which means you spend less time with the examiners and more time with clients.

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