Know beforehand exactly how your staff, structures and systems will fare during an examination. Our mock exams are designed by former examiners that have previously conducted actual SEC exams.
Note: Others may call it a “mock exam” but what you experience falls well short. We perform only true SEC mock exams that mimic actual regulatory examinations.
The mock audit conducted by FrontLine Compliance was significant in preparing for our eventual SEC exam. We believe this advanced preparation struck a chord with the SEC – they halted their exam early!
FrontLine Compliance’s process is proven over our history since the firm’s founding in 2006. Our clients’ successful track record with the SEC is unmatched by our competitors due to the extensive practice and preparation of our SEC Mock Exams. FrontLine Compliance’s record of success speaks for itself: 85% of our clients have received the SEC’s “gold standard” letter of “No further action required” following an SEC examination, signifying that no deficiencies were found. This is an exceptional achievement considering only 2% of all registered investment advisers experience an SEC exam without findings. The remaining 15% have received only minimal findings with minor deficiencies.
Check out our record of success and our industry and national media recognition here.
Our SEC Mock Exams include the following:
- Document requests follow the most recent SEC exams as relevant to the firm type
- Deadlines are consistent with actual SEC exams
- Work product deliverables includes both findings and recommendations for remediation
- SEC Mock Interviews for the C-Suite and other key staff members to prepare them for “the hot seat”
- Deep dive forensic analysis of firm documents in the manner of an actual SEC exam (no use of checklists like our competitors)
- Senior compliance consultants with over 15 years’ direct experience on every SEC Mock Exam team
- Management oversight of every SEC Mock Exam team to ensure consistency and quality
Timelines for completion depend upon firm size and firm goals. We are regularly told by our clients that our SEC Mock Exams have more findings than the actual SEC exam. We over-prepare your firm so you are confident that your actual SEC exam will be a positive experience.
All services offered by FrontLine Compliance include access to our secure project management system, scheduled video meetings, and 24-hour response times, M-F. We are here when you need us!