October 12, 2018

Mock Exams: Dress Rehearsals for the Real Thing

In the September/October 2018 edition of the Investment & Wealth Monitor Magazine, AdvisorAssist’s Ann Keitner and Conor Anderson wrote an article targeting CCOs on mock exams; discussing their importance and steps on how to run one.

A mock exam is a valuable tool for a firm to assess their readiness for an actual regulatory exam. All advisors benefit from this exercise, including new advisors that have never been examined and mature advisors who have been through multiple regulatory exams.

The article covers the below areas:

  • Determining the goal of the exam
  • Deciding the type of exam to conduct
  • Planning for the exam
  • Deciding who will conduct the exam
  • What to do with the exam results

To read the full article, please see: Click Here


Ann Keitner
Conor Anderson


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