Are you prepared for a regulatory exam?

To help you further understand what to expect during a regulatory exam, Cipperman has prepared these pointers.

Download our summary here:

Announcement & Initial Notification of Exam.  

How do regulators notify us of an exam?
What information do they request?
How do I form a plan of action to respond?

Effective Management of Exam Process.               

Who communicates with examiners?
Will there be deadlines?
What if I have questions on the request?

Communicating Your Strategy.                     

How do I ensure the regulators know my business?
Who should present our business to exam team?
How much information should I give the regulators?

Exam Findings & Deficiencies.                   

Will I know if the exam team has exceptions?
Are all deficiencies “bad”?
Can I respond to issues or findings?

Current Landscape of Regulatory Exams.       

Are there hot topics of regulatory findings?
Is my firm high-risk?
Are there different types of exams?

Recent Regulatory Developments.       

What are the regulators focusing on?
How does my firm know the focus areas?
How can my firm get ahead of the new regs?

Cipperman Best Practices for Regulatory Exams


If these exam preparation items seem overwhelming or you would like Cipperman to implement these Best Practices for your firm, you should: