Across multiple jurisdictions, inspectors tend to request the same foundational documents within the first few minutes of an onsite visit.

Before they look at individual transactions, they want to assess whether your governance framework is credible and operational.

The first hours of an inspection often shape the tone of the entire review.

Weak documentation signals weak governance.
Clear, structured documentation signals control.

Preparation is not about having documents.
It is about demonstrating a compliance culture that works in practice.

If your firm would struggle to produce these without delay, it may be time for a readiness review.