With former prosecutors and CCOs on staff, Orical has assisted its clients through hundreds of actual exams and conducted a similar number of mock exercises. We often provide actual in-exam assistance through our affiliated law firm, Florio Leahy LLP, whose product is subject to the rules that govern attorney/client privilege (Attorney Advertising).  In today’s regulatory environment and with an increasing number of registered investment advisers, the amount of regulatory examinations by the SEC has increased. SEC examinations and onsite visits can be highly time-consuming and disrupt a firm’s day-to-day operations, lasting anywhere from a few weeks to multiple months.

Orical’s team of attorneys and compliance experts has years of experience assisting investment managers and funds with regulatory examinations and has gone through hundreds of examinations. We assist clients in all aspects of exams, from responding to document request lists to preparing your team for onsite visits.

For questions or assistance with regulatory examinations, please contact our affiliated law firm, Florio Leahy LLP, at https://www.florioleahy.com/ for more information.