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Frequently Asked Exam Questions


Mission Critical Services offers a free copy of the most frequently asked regulatory compliance examination questions.  This document gives prospective clients insights on some of the questions you may be asked on your next examination.  Mission Critical Services has deep experience in managing regulatory examinations.  We are typically the point person to regulators, which differentiates us greatly among other competing compliance firms. Simply put:  We take full charge during an examination so you don’t need to.

We are a small company like you.

We help you reach compliance.

13+

Years In Business

15+

Compliance Professionals

300+

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Mission Accomplished – Testimonials

“Replaced ACA. Annual savings approximately $40K. Service is excellent.”

– CCO/CFO, Investment Adviser Client  

“We have enjoyed a great relationship with Mission Critical over the many years of being in business.  They are a solid sounding board on complicated compliance matters.  I really like the way they cut through the myriad of securities laws, rules and regulations in order to get answers to my questions. ”

– Managing Partner, Investment Adviser Client

“I always appreciate the prompt turnaround.”

– Managing Member, Investment Adviser Client

“I just wanted to thank you personally…It just reinforces how important it is to have a consultant in our midst, who can assist in solving problems and the ongoing advocacy of our firm.”

– Managing Partner, Broker-Dealer Client

“I have received all your e-mails including your Risk Assessment & Gap Analysis, Political Contributions Memo, Website Surveillance Memo, and the Compliance Calendar.  Thank you for all of those.  They are exceptionally helpful!”

– CCO, Investment Adviser Client

“You are an invaluable resource and your quick turnaround time was appreciated more than you know.”

– Managing Director, Investment Adviser Client

“We really appreciate you being so understanding despite the fact that we pushed this thing all the way to the deadline.”

– Investment Adviser Client

“Thanks so much for your hard work.”

– CCO, Investment Adviser Client

“Excellent job.  You guys never cease to amaze me.”

– Managing Member, Investment Adviser Client

“Thanks for your work reviewing my compliance procedures and records.  My compliance situation has improved as a result of your review.”

– Chief Executive Officer, Investment Adviser Client

“Mission Critical’s service offerings were directly in line with our needs.  MCS is a great fit for the small investment advisory shop.”

– CCO/CFO, Investment Adviser Client

“Amazing results on the SEC examination. We had zero violations. The SEC examiner told me that’s extremely rare. We’re so glad we chose Mission Critical to help with compliance.” 

– CEO/CCO, Investment Adviser Client

“I thought that went well [regarding an exit meeting with the SEC] and you deserve much of the credit.  You were right on about the pitchbook/performance, solicitor’s agreement, …Terrific job.  I am taking full credit for hiring you!”

– CCO/CFO, Investment Adviser Client

“The examination went well.  You have been extremely helpful in directing us through our first exam…and have kept my level of anxiety under control, which is saying quite a bit when I have to deal with government officials.”

– Chief Executive Officer, Investment Adviser Client

“Thank you so much for getting us through the SEC exam and helping us along the way this year.”

– Managing Member, Investment Adviser Client

“Great news – we received our ‘no findings’ letter from the SEC. I am very appreciative of management for allowing me to co-source the compliance efforts with Mission Critical Services. They were very valuable to me and were helpful in us achieving this successful milestone.”

– CCO, Investment Adviser Client

“We are happy with the service that you provide and look forward to working with you in 2018.”

– CCO, Investment Adviser Client

Compliance Blog Spotlights

Latest News

May and June 2021 SEC Updates

1.            June 14, 2021, Commissioners Hester Peirce and Elad Roisman continued their attack on SEC Commissioner Gary Gensler by issuing their third public statement in connection with Chair Gensler’s regulatory agenda.  Key comments include:   •             The Agenda makes clear that the Chair’s recent directive to SEC staff to consider revisiting recent regulatory actions taken … Read More

Read All Articles
  • May and June 2021 SEC Updates
    1.            June 14, 2021, Commissioners Hester Peirce and Elad Roisman continued their attack on SEC Commissioner Gary Gensler by issuing their third public statement in connection with Chair Gensler’s regulatory … Read More
  • April 2021 SEC Updates
    On April 28, 2021, after less than 6 days, Alex Oh resigned her position as Director of the Division of Enforcement for “personal reasons”. https://www.sec.gov/news/press-release/2021-75 and https://www.sec.gov/news/press-release/2021-69 and https://www.bnnbloomberg.ca/sec-enforcement-chief-alex-oh-resigns-just-days-after-taking-job-1.1596627 On … Read More

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