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How to prepare for an SEC or FCA compliance examination
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How to prepare for an SEC or FCA compliance examination
Firms regulated by the SEC or FCA must treat regulatory examinations and supervisory visits as part of their business-as-usual operations. While SEC exams are often in-depth and rigorous, FCA visits tend to be more focused but can still demand fast and accurate responses. In both cases, preparation is critical—compliance teams must demonstrate fluency in operations, transactions, and procedures under scrutiny. According to ACA Group, a strong fi…
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