Have you been notified that you are going to be the subject of a regulatory examination? If so, BDCA can help you prepare for the examination so you can achieve the best possible results. Our experts have regulatory experience and have actually conducted examinations on broker/dealers for the regulators. We can review all aspects of your business to make sure you are in compliance with relevant securities rules and regulations.
BDCA can also provide as much support as you need during a regulatory examination. We can help you gather, review, organize and produce the documents that the regulators request from you or we can actually be on-site during the examination to provide you with guidance and advice during the examination process. If you only need minimal support during a regulatory examination, we can be available by telephone to answer any questions you may have or provide guidance and assistance as needed.
Please call us at (770) 263-6003 to find out how we can help you during a regulatory examination.