SEC Examination Guide for Registered Investment Advisers
Registered Investment Advisers (RIAs) are subject to ongoing regulatory oversight by the US Securities and Exchange Commission (SEC), including routine and risk-based examinations.
To support financial institutions in navigating this process, Waystone has developed the SEC Examination Walkthrough, a practical guide covering what to expect during an SEC exam, how to prepare effectively, and the key steps to take before, during, and after the review.
Practical Guidance for SEC Exams
The examination walkthrough is a valuable resource that provides clear, actionable guidance on everything from organizing documentation and responding to information requests to managing interviews and post-exam follow-up. It reflects current SEC regulatory expectations and real-world insights from the field.
The SEC Exam Walkthrough guide aims to help compliance teams strengthen internal processes, minimize exam-related risk, and maintain alignment with SEC expectations.
Download the SEC Exam Walkthrough Guide
Our guide covers key areas of the SEC exam process, including:
- Overview of SEC exam types
- Step-by-step SEC exam process, from initiation to exit meetings
- Common SEC information requests for documents and records
- Best practices for SEC exam preparation
- Post-exam remediation and corrective actions.
How Waystone Can Help
Waystone partners with RIAs to prepare for and successfully manage SEC exams with confidence. Our experienced US Compliance Solutions team provides hands-on support designed to strengthen compliance programs, reduce regulatory risk, and ensure alignment with SEC requirements.
Our SEC exam services include:
- Mock SEC exams – full document request simulation, books and records review, and actionable findings
- Exam readiness – tailored compliance testing, training, and process reviews
- Post-enforcement remediation – policy updates, remediation plans, regulator interaction support.
To discuss the topics covered in the SEC Exam Walkthrough guide or learn how our team can assist your firm with SEC exam readiness and remediation, please contact your usual Waystone representative.