Have you received a Notice of Examination or just want to know that your firm is prepared when that time comes?

Cobia’s staff has extensive experience with both SEC and FINRA audits. In addition, Cobia associates have participated in numerous audits conducted by the OCC, FDIC, and various other state regulators.  Let us put that experience to work for you. 

Cobia is committed to ensuring that your firm has adequate resources to handle any type of examination or inquiry. Cobia can provide assistance drafting regulatory responses or on-the-ground assistance with assembling documents for a regulatory request.

In order to assist you in knowing what to expect in the event of an actual audit, Cobia offers mock audit services.  We will simulate an actual examination and provide either oral or written feedback as to our findings and make recommendations for how your firm can make improvements.

 2008 SEC Request List