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​Examinations & Enforcement Defense
Helping advisers prepare for, navigate, and respond to regulatory scrutiny with precision and credibility.
Comprehensive mock examinations and readiness reviews tailored to SEC, CFTC, and NFA expectations
Targeted assistance with document productions, deficiency responses, and remediation plans
Representation in examinations, investigations, enforcement inquiries, subpoenas, Wells notices, and settlement negotiations
Development of corrective-action frameworks and enhancements to policies, procedures, and controls
Specialized forensic reviews under the Marketing Rule, Custody Rule, Pay-to-Play Rule and Books and Recordkeeping Rule
Coordination with forensic accountants, audiors, and insurance providers
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