GAP Analysis Audits

We painstakingly design our audits specific to the product, department, supervisory structure, or rules that necessitate the need for the audit in the first place. FrontLine Compliance’s forensic approach drills down to identify the issue or concern while our experts then determine the right solution for your business model. For example, firms undergoing structural change need to know what risks are presented to the current compliance program; our experts perform specific GAP Analysis Audits to discover and mitigate those risks. By hiring FrontLine Compliance, firms avoid adding inexperienced staff, increasing investment in new or nascent technology or missing opportunity costs, while complying with regulations.

FrontLine Compliance’s ’40 Act experts quickly identify areas of concern or weakness within your compliance program. Once issues are identified, we work to remediate them by enhancing written policies or updating internal control processes to fit within the requirements of the rules as well as your policies.

In nearly two decades of offering services, our experts have routinely found certain areas that almost all firms can improve upon, including:

• Employee compliance with the firm’s Code of Ethics
• Documentation of compliance or operational procedures
• Updating client disclosures to fit actual practices
• Enhanced marketing material disclosures or other changes

Our GAP Analysis with our forensic approach to reviews is often enough to get your firm back on track without the high cost of hiring outside counsel or even performing a more in-depth full SEC Mock Exam. Each audit is risk-based and covers the areas you need, plus additional areas as identified throughout the process.

ESG Audit Services

FrontLine Compliance’s ESG Audit Services will bring your firm up to speed with all current and pending ESG regulations. To learn more, view our ESG Audit Services.