SEC Exam Readiness Checklist

A practical checklist to help RIA firms prepare for exams across books and records, marketing, custody, and more.

The SEC can initiate an exam at any time, and even well-run firms can be caught unprepared. That’s why we created this practical checklist to help RIAs like yours proactively identify gaps before regulators arrive. 

If you're a newly registered firm looking to scale your compliance program, this resource will help you strengthen your exam-readiness strategy and avoid preventable findings.

You'll Learn How To: 

✔ Understand what examiners are likely to review 
✔ Identify areas that may need attention now 
✔ Avoid common first-year deficiencies 
✔ Gain confidence in your documentation and disclosures

This Checklist is Ideal For: 

• RIAs preparing for their first SEC exam
• Firms conducting a mid-year internal review
• Teams wanting to confirm alignment across compliance, operations, and marketing
• Anyone navigating SEC requirements, marketing rule enforcement, or custody proposals