Market Conduct Examination, Preparation & Negotiation
As a part of our Risk Mitigation and Compliance Program, Currin Compliance Services, Inc. (CCS) will train and prepare you for the demands of a market conduct exam.
More importantly, we look for potential areas of vulnerability before the exam begins. CCS will review your policies and procedures as well as job descriptions against actual operations and files to assist you in reducing regulatory risks before an exam. We provide training for staff on market conduct and sales practice issues to make sure that you are well positioned heading in to an exam.
Whether market conduct examiners are on-site or at their desks, we help your home office personnel respond to regulator inquiries. We help you provide sufficient information to answer inquiries succinctly and clearly, which can resolve issues quickly to definitively bring the matter to a close.
We work with you to devise a successful strategy to deal with any issues raised, and if needed, negotiate any settlement that may result. Most importantly, we then use that experience to develop a plan to implement any necessary remedial measures in order to avoid similar problems in the future.