NEW YORK--(BUSINESS WIRE)--As the industry continues to adjust to the changes brought on by the Dodd-Frank Wall Street Reform and Consumer Protection Act, SEC mock examinations are becoming a key resource for investment managers, according to Kinetic Partners, a global professional services firm to the asset management, investment banking and brokerage community.
With government oversight becoming more stringent and prevalent than ever before, SEC mock examinations help ensure that firms are fully compliant with industry-related legislation. The examinations enable advisors to correct deficiencies, enhance compliance policies and procedures, and reduce the risk of an adverse SEC determination.
A mock examination will also give firms the opportunity to review and, if necessary, prepare for a potential SEC visit. In addition, this type of process combined with proactive engagement in compliance assistance can be a valuable tool in helping get to your firm in order to raise funds. “With all of the regulatory changes now taking place across the industry and the level of transparency steadily increasing, SEC mock examinations are quickly becoming a crucial tool for ensuring your firm meets all of the applicable industry laws and regulations that have been implemented throughout recent months,” said Jonathan Saxton, Member at Kinetic Partners. “We offer a thorough review of the firm’s business and develop a robust compliance infrastructure that reflects the findings of our inspection.”
About Kinetic Partners (www.kinetic-partners.com):
Kinetic Partners is an award winning global professional services firm providing regulatory consulting & compliance, corporate recovery & forensic services, remedial, risk consulting & monitoring, tax and audit & assurance services to the asset management, investment banking and broking industries. Launched in 2005, Kinetic Partners has grown rapidly, and has a team of 140 across its eight offices in London, Dublin, Cayman, New York, Geneva, Hong Kong, Luxembourg and the Channel Islands. Kinetic Partners services over 1,300 clients and has attained a reputation as the leading provider of professional services in its chosen market sectors.
2012 highly commended for “Best regulation and compliance advisor” at the HFM European Performance Awards
2011 winner of Hedgeweek's "Best regulatory advisory firm" in the US
2010 winner of Funds Europe's "European advisory firm of the year"
2009 and 2010 winner of HFM Week's "Best regulatory advisory firm" in Europe and US
2008 winner of Fund Domiciles "Best consulting firm" in Ireland and Cayman