Regulatory exam deficiencies are preventable.
We should know: we’re former regulators.

No client we’ve created and managed a program for has ever had a material finding from an exam.

“I’ve personally conducted SEC exams and have trained SEC examiners, so I know what they expect. We create client-specific strategies to meet every one of those expectations.”

We think “deficient” is a pretty accurate description of the off-the-shelf, one-size-fits-all approach too many compliance firms call solutions.

“FrontLine’s mock audit was crucial in preparing for our SEC exam. We believe this advanced preparation struck a chord with the SEC – they halted their exam early!”

There’s book smart and seminar smart, and then there’s in-the-trenches smart.

We know the difference… So, when something comes up, call us for the business-specific advice you need.