Mock audits and exam support
A mock audit is a chance to find the missing procedure while there is still time to fix it. Legacy Compliance runs the review remotely, writes the findings, and trains the team on the standards those findings point to.
When a regulator puts a visit on the calendar, the higher tiers add dedicated exam support and a representative with a stated response time, so the firm is organizing documents instead of guessing what the exam staff will ask for.
What is included
- Remote mock audit with a written findings report
- Annual employee training tied to current standards
- Exam support on higher tiers when a regulator schedules a visit
- A designated representative with a stated service level on the top tier
Common questions
What happens in a mock audit?
Legacy Compliance reviews the firm remotely and delivers written findings, so gaps can be fixed before a regulator finds them.
Do you help during a real exam?
Higher tiers include dedicated exam support and a representative with a defined response time once a regulator schedules a visit.
Pricing for this work is on the services page. Also see RIA Registration, Ongoing Compliance, Marketing and Email Review.