What examination areas does it cover?

Current SEC examination priorities including marketing and advertising, fee billing, cybersecurity, Regulation S-P, and conflicts of interest.

What does the output look like?

A readiness report showing which document requests you could satisfy today, which have gaps, and what evidence needs to be assembled before an actual exam.

SEC Exam Simulator

Prepare for regulatory scrutiny by simulating a comprehensive SEC examination. Test your firm's readiness against current examination priorities and typical document requests.

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Why This Matters

Exam preparation determines examination outcomes

Firms that test readiness proactively find and fix issues before examiners identify them as deficiencies. The best exam defense is preparation.

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Scrambling to locate documents after exam notice arrives

Firms receiving exam notices often discover missing records only after the request arrives, leaving no time for remediation.

warning

Findings that could have been remediated beforehand

Many examination deficiencies are foreseeable. Firms that simulate exams fix problems before regulators write them up.

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Unclear exam risk areas until examiners identify them

Without simulating the exam, firms don't know where their documentation is weak until regulators point it out.

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Staff overwhelmed by document requests they didn't anticipate

Unexpected document production timelines stress operations teams and increase error rates under pressure.

What This Agent Automates

check_circleSimulates document requests based on current SEC examination priorities

check_circleTests ability to produce required records, policies, and evidence

check_circleIdentifies gaps in documentation and supervisory procedures

check_circleFlags common deficiency areas from recent examination trends

check_circleGenerates remediation plan prioritized by examination risk

What It Eliminates

cancelExam preparation that only begins after receiving notice

cancelDiscovery of documentation gaps during actual examinations

cancelStaff panic from unexpected or difficult document requests

cancelFindings that result from lack of advance preparation

How It Works

From simulation to exam-ready posture in four steps

Simulate

Document requests based on SEC priorities and firm profile.

Test

Ability to produce policies, records, evidence within deadlines.

Identify

Documentation gaps, missing procedures, weak areas.

Remediate

Prioritized action plan before actual exam occurs.

Example Outputs

What the agent actually produces

Gap identified

Unable to produce complete email review documentation for Q2 2025.

Suggested action: Implement systematic email review recordkeeping before next exam cycle.

Critical deficiency

Custody rule compliance testing documentation incomplete or missing.

Suggested action: Immediate remediation required. Conduct surprise exam and document results.

Exam ready

All simulated document requests satisfied. No critical gaps identified in policies or procedures.

Suggested action: Firm prepared for SEC examination. Maintain current documentation standards.

Who This Helps

Built for the teams responsible for exam readiness

CCOs

Test examination readiness proactively before exam notices.

Compliance Teams

Identify documentation gaps with time to fix them.

Operations

Practice document production workflows and timelines.

Principals

Reduce examination findings through advance preparation.

Get Started

Ready to test your exam readiness?

15-minute diagnostic call. We review your current documentation posture and identify where your firm is most exposed.

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