The Leader in

Registration Analysis

Regulatory Filings

Regulatory Examination Support

Mock Audits

Annual Compliance Reviews

Cybersecurity Programs

Compliance Training

Ongoing Compliance Support

Compliance Outsourcing

Compliance Manuals

Advertisement Reviews

Compliance Testing

Email Monitoring

Social Media Reviews

Trading Surveillance

Best Execution

Compliance Risk Assessments

Compliance Gap Analysis

Employee Supervision

Anti-Money Laundering Audits

Compliance Calendars

Conflicts of Interest Analysis

Compliance Disclosure

Request A Callback

Home Page Call Form

What Type of Regulated Entity are you?

Click below to learn more.

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.


Years In Business


Compliance Professionals


Unique Clients Served

Coming Soon

Text here about the new software that’s
short and easy to understand

Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Quis ipsum suspendisse ultrices gravida. Risus commodo viverra maecenas accumsan lacus vel facilisis.

Mission Accomplished – Testimonials

“We have decided to use Mission Critical Services as our outsourced compliance firm.  We have used them in the past and found their work to be excellent.”

– CEO, Investment Adviser Client

“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

Regulatory Compliance Updates

Latest News

November 2023 SEC Updates

1. On November 21, 2023, the SEC filed charges against Brite Advisors USA, Inc., a New York based SEC-registered investment adviser, for failing to comply with Commission requirements for the safekeeping of client assets and for failing to disclose material risks and conflicts of interest associated with Brite USA’s recommendations to clients to use a … Read More

Read All Articles
  • November 2023 SEC Updates
    1. On November 21, 2023, the SEC filed charges against Brite Advisors USA, Inc., a New York based SEC-registered investment adviser, for failing to comply with Commission requirements for the … Read More
  • October 2023 SEC Updates
    1. On October 31, 2023, the SEC announced fraud charges against Eduardo Hernandez, Christopher Flagg, Daquan Lloyd, and Corey Ortiz, all currently or formerly of Long Island, New York, for … Read More

Stay up to date on NEW regulatory requirements!

You have already submitted that form