Regulatory Compliance Mock Exams
Make sure your firm is prepared to handle a regulatory review by the SEC, NFA, FCA, FSRA, or DFSA.
Is your firm prepared for regulatory scrutiny?
With increasing regulatory scrutiny, firms must prove compliance. Our document assessments, interviews, trade analytics, and compliance testing, led by former regulators, provide 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.
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Mock reviews: Crucial to compliance success
Total financial remedies ordered by the SEC in fiscal year 2024
Increase in FCA fines in 2024, when compared to the previous year
Increase in fines imposed by the DFSA in 2023 compared to the previous year
What do you need help with?
With expertise across multiple global jurisdictions, including SEC, NFA, FCA, FSRA, and DFSA, we help you assess compliance gaps, enhance governance frameworks, and mitigate regulatory risks before they escalate.
Prepare for data-driven Securities & Exchange Commission (SEC) exams with our tech-enabled mock reviews, leveraging trade analytics and assessments that mirror the SEC’s advanced methodologies.
Stay ahead of National Futures Association (NFA) scrutiny with targeted mock exams, supervisory framework evaluations, and staff training to meet Commodities Futures Trading Commission (CFTC) standards.
Help ensure compliance with Financial Conduct Authority (FCA) reviews and investigations focusing on conduct risk, governance, and operational resilience through thematic reviews and Internal Capital Adequacy and Risk Assessment (ICARA) assessments.
Navigate Financial Services Regulatory Authority (FSRA) assessments with governance evaluations, risk-based compliance assessments, and in-depth thematic reviews. To help ensure compliance in Abu Dhabi Global Markets (ADGM).
Enhance your compliance posture with Dubai Financial Services Authority (DFSA)-aligned governance reviews, health checks, and risk management assessments for firms operating in the Dubai International Financial Centre (DIFC).
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.
Here’s what sets us apart:
Regulatory expertise
Our team comprises former regulators and compliance specialists with firsthand knowledge of regional regulatory expectations.
Exam-ready confidence
Tailored compliance support
Regulatory reviews matter
Stay audit-ready and compliance-secure with mock exams, health checks, and policy reviews. Watch our video to see how we help firms reduce risk and strengthen compliance.
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