Regulatory Investigation and Examination Support

• IA Compliance provides support to our clients throughout the investigation or examination process: whether as a part of an internal review, an industry-wide sweep or self-reporting initiative, or a regulatory examination or enforcement action.
• IA Compliance has provided support to firms dealing with inquiries from the OCC, FINRA (and its legacy examination arms of the NYSE, AMEX, and NASDR), and the SEC, as well as numerous state regulators. We have hands on and direct experience dealing with regulators, fraud investigations, whistle blowers, in addition to strong quantitative analysis skillsets.