Examination and enforcement, from the inside
Exam preparation, document production, deficiency-letter response, and enforcement matters, handled by people who read thousands of these from the regulator's side of the table.
Greenridge L&C Advisors prepares firms for examinations and responds when the letter arrives: exam readiness, document and data production, deficiency-letter response, and support in enforcement matters. Our principal spent over fifteen years inside the SEC, FINRA, and FDIC.
What we handle
The moment someone actually goes looking for this help.
- Exam and inquiry preparation
- Document and data response assembly
- Deficiency-letter and findings response
- Remediation and corrective-action plans
- Support for communications with regulators
The inside advantage
We know how an examiner builds a case and what a good response looks like, because we built those cases. Legal representation in a matter, where it is required, remains with your outside counsel; we bring the regulator's view into the room. See responding to a deficiency letter.
Common questions
What should I do when I get a deficiency letter?
Can you prepare us before an exam?
Bring us the letter.
Exam notice, deficiency letter, comment letter, or an application that has stalled. Tell us where you are and we will tell you what happens next. A first conversation is free and without obligation.
Bring us the letter →