Mock Examination
There is no better way to prepare for a regulatory examination than to have a team of compliance experts apply common exam practices to a Mock Examination process to your firm.
At Synergy, we have a team of experienced professionals that have worked through countless examinations for our clients.
While in the process of providing consulting support for audits in various jurisdictions, we collect new data on exam priorities and books and records review processes, and we apply those to our Mock Examination process. Even our examination interviews are designed to mirror the common interview practices and questions presented by regulators during exams.
This service includes document requests, forensic testing of submitted documentation, live interviews with the firm’s Chief Compliance Officer, and deficiency letters referencing regulatory guidelines that mirror the formatting used by regulators.
