Received a Surprise Custody Examination Letter? Let's Get Started.

If your registered investment advisory firm has received a custody examination notice from the Virginia State Corporation Commission or another state regulator, Keiter can help you understand the examination process and prepare for next steps.

Professional sitting at desk while looking at a computer reviewing a Surprise Examination Letter from the Virginia State Corporation Commission.

How Keiter Can Help: 

  • Experience with RIAs of All Sizes:

    From boutique investment advisers to national firms with thousands of accounts, our PCAOB-registered team has established experience performing surprise custody examinations for both SEC- and state-registered firms.

  • Expertise in Virginia's Unique Requirements:

    We understand the differences between federal and Virginia custody rules, including requirements involving standing letters of authorization (SLOAs) and can help you understand what to expect.

  • Responsive, Personalized Support: 

    We know timing matters. You will work with professionals who understand these examinations and can help you move efficiently through engagement, preparation, and scheduling.