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Regulatory Compliance Mock Exams
Ensure your firm is prepared for a regulatory review by the SEC, NFA, FCA, FSRA, or DFSA.
With increasing regulatory scrutiny, firms must prove compliance. Our document assessments and interviews, combined with trade analytics and compliance testing led by former regulators, deliver actionable insights to mitigate risks, address deficiencies, and benchmark against industry standards.
Regulatory reviews are not just routine. They are a critical test of your firm’s compliance framework, impacting business continuity, investor confidence, and regulatory standing. If unprepared, you risk:
• Penalties and enforcement actions from compliance gaps
• Business disruptions due to last-minute fixes and unexpected scrutiny
• Reputational damage that can erode investor trust
Our mock exams and compliance health checks give proactive insights to anticipate regulatory focus, uncover weaknesses, and strengthen internal controls before an official review.
Get ahead of the regulators–book a regulatory review today.
Why preparing for a regulatory review is critical?
A regulatory review is more than a routine check, it can impact your firm’s operations, reputation, and ability to continue doing business. Without adequate preparation, your firm could face:
- Regulatory penalties due to compliance deficiencies
- Operational disruptions from last-minute audit preparations
- Reputational risk that can lead to loss of investor confidence
Our Preparing for a regulatory exam checklist ensures you have everything covered, from internal documentation and staff training to risk assessments and regulatory submissions.
Choose your regulator
U.S. Securities and Exchange Commission (SEC)
Firms subject to SEC oversight must be prepared for increasingly data-driven and technology-enabled examinations. The SEC utilizes advanced analytics tools, including its National Exam Analytics Tool (NEAT) to assess trading data, monitor risks, and detect compliance gaps.
How we help:
- Technology-enabled mock exams: Our ComplianceAlpha® market abuse surveillance technology mirrors the SEC’s analytical approach, helping firms proactively identify risk areas.
- Regulatory experts and former SEC examiners: Our dedicated team brings deep insights into the SEC’s priorities, enabling us to anticipate areas of focus and prepare firms accordingly.
- Comprehensive risk assessments: We analyze trading data, surveillance programs, and reporting frameworks to align with SEC expectations. We also provide peer analysis and benchmarking to help firms understand how they compare to industry standards.
- Training solutions: Align with U.S. regulatory requirements through expert-led programs.
UK Financial Conduct Authority (FCA)
The FCA conducts regulatory and thematic reviews to evaluate how well firms adhere to compliance obligations. Their focus is on conduct risk, governance, and operational resilience, including ensuring firms submit accurate RegData returns and comply with ICARA requirements.
How we help:
- Mock reviews: We conduct mock reviews aligned with FCA priorities, helping firms assess their compliance readiness and identify areas for improvement.
- Thematic reviews: Our targeted thematic reviews focus on emerging regulatory risks and evolving compliance expectations to keep your firm ahead of potential challenges.
- Health checks: Our compliance health checks provide an in-depth assessment of your regulatory readiness, ensuring your firm maintains strong governance and control frameworks.
- Governance and risk management assessments: We evaluate your internal governance structures and risk management frameworks to ensure they align with FCA expectations and best practices.
- Training solutions: We provide tailored training programs to equip your team with the knowledge and tools needed to meet FCA obligations and maintain compliance.
U.S. National Futures Association (NFA)
Firms regulated by the NFA must demonstrate adherence to CFTC regulations through mock exams, compliance assessments, and risk-based audits. The NFA focuses on supervisory frameworks, recordkeeping, and reporting obligations.
How we help:
- Mock NFA exams: We conduct comprehensive mock exams that emulate actual NFA examinations, helping your firm identify potential deficiencies and prepare effectively.
- Compliance program reviews: Our team assesses your compliance infrastructure to ensure alignment with NFA requirements and industry best practices.
- Risk-based audits: We perform targeted audits focusing on areas of high regulatory risk to bolster your compliance posture.
- Staff training and readiness programs: We prepare your team for NFA inquiries through tailored training sessions and mock interview scenarios.
Abu Dhabi Financial Services Regulatory Authority (FSRA)
The FSRA requires firms in ADGM to maintain comprehensive governance and risk management frameworks. The regulator conducts thematic reviews and regulatory assessments to evaluate firms’ compliance with FSRA rulebooks.
How we help:
- Regulatory reviews and thematic assessments: We conduct reviews tailored to FSRA priorities, helping firms assess their compliance framework and identify gaps.
- Training solutions: We provide customized training programs to equip your team with the knowledge and skills necessary to meet FSRA compliance requirements.
- Governance and control framework evaluations: We review firms' internal governance and risk structures to ensure alignment with FSRA expectations.
- Compliance health checks: We assess policies, procedures, and controls to confirm regulatory readiness and compliance sustainability.
- Risk-based compliance assessments: We provide detailed assessments to strengthen firms’ overall compliance approach and mitigate key regulatory risks.
Dubai Financial Services Authority (DFSA)
The DFSA enforces compliance and risk management standards for firms operating in DIFC. Through thematic reviews and regulatory reviews, the DFSA ensures firms maintain effective compliance frameworks.
How we help:
- Mock reviews and compliance health checks: We conduct comprehensive reviews aligned with DFSA standards to identify regulatory risks and strengthen compliance frameworks.
- Training solutions: Our tailored training programs help firms build internal compliance expertise and stay ahead of evolving DFSA expectations.
- Governance and risk framework evaluations: We assess firms' internal control structures to ensure effective oversight and governance in line with DFSA regulations.
- Ongoing regulatory support: We provide advisory services to help firms stay compliant with evolving DFSA regulations and expectations.
- Training and documentation reviews: We prepare firms for DFSA inquiries by offering compliance training and ensuring documentation is accurate and audit-ready.
Why ACA?
Experience the ACA advantage in regulatory readiness. Our expert-led mock exams and reviews, health checks, and risk assessments provide you with the insight, technology, and support needed to confidently navigate increasing regulatory scrutiny.
How we help you prepare?
Whether you’re looking to launch, grow, or protect your business, we provide tailored solutions to help firms prepare for regulatory scrutiny with confidence. Our team, which includes former regulators, offers:
● Mock exams, thematic reviews, and health checks tailored to regulatory expectations.
● Policy and procedure gap assessments to strengthen compliance frameworks.
● Staff training and readiness programs to equip teams for regulatory interactions.
● Ongoing compliance advisory & monitoring to maintain regulatory alignment.
Get ahead of the regulators– book a regulatory review today.