Experiencing an SEC exam can be intimidating.

At Hardin Compliance Consulting, we help you navigate through the process by working directly with the regulators and assisting you in responding to their document requests and questions.

Our experienced consultants review your responses and let you know where you may have weak spots and how to deal with them.

We prepare both your employees and management by instructing them on how to handle an SEC interview. Having been through many SEC exams, our consultants advise you on strategies and potential outcomes, so you can confidently deal with SEC staff.

Responding to your SEC Deficiency Letter

We know responding to the SEC’s examination results (your “Deficiency Letter”) is challenging.

Although the SEC staff takes a lot of time pointing out potential rule violations or inadequate policies and procedures, they typically do not provide guidance on how to fix these issues.
That’s where Hardin Compliance Consulting steps in.

Our consultants understand “SEC speak” and we know what the SEC is looking for. We help you develop a response addressing the regulator’s concerns, one that works for your firm. And if we think the SEC is overreaching, we’ll let you know that too and suggest strategies for dealing with unreasonable requests.

Should You Have an SEC Readiness Assessment?

Prepare for your SEC examination with an SEC Readiness Assessment by Hardin Compliance Consulting.

In preparing an SEC Readiness Assessment, we help determine your firm’s greatest areas of risk, as well as those sectors the SEC has identified as hot topics or focus areas. We also come onsite to review various records and interview key employees.

When the Assessment is complete, we provide you with an overview of our initial findings in the form of an exit interview and a written report.

This service also includes 10 hours of consulting for 30 days following completion of the report to discuss any deficiencies discovered.

Whether the SEC staff has just entered the building or you merely want to be prepared if they do, we have consultants ready and available to help.

For more information, call our main office at 724-935-6770 or visit our Contact Us page today.