We assist investment advisers, investment companies, hedge funds, private equity funds and similar financial services organizations evaluate independently the soundness and effectiveness of their compliance policies and procedures. In some instances, this assessment can take place in the form of a so-called “Mock SEC Exam,” in which we assist the client in anticipating the areas of scrutiny in an SEC examination. Identifying compliance weaknesses in advance of an SEC or other regulatory examination can be invaluable in avoiding a possible enforcement action, as well as protecting the client’s reputation and the confidence of its investors. The “Mock SEC Exam” is tailored to the client’s business and its regulatory requirements. At the conclusion, we can, if requested, submit a written report of our findings and any recommendations.