Mock SEC audit

All securities advisors would benefit greatly from a mock SEC audit before dealing with their annual SEC audit. The SEC is cracking down on the entire securities industry and implementing more stringent penalties than ever before. A mock SEC audit will prepare your investment firm for all SEC compliance issues and help you avoid the wrath of the newly fired up SEC regulatory board. A mock audit will mirror your firm's SEC audit and cover all the same aspects of the real thing. A mock SEC audit will begin by reviewing all of its clients account files, advertising files, representative files costumer complaint files, correspondence files, and new account applications. The mock audit will also include a complete examination of the firm's Training Plan, Business Continuity Plan, and Anti-Money Laundering procedures, and include a detailed assessment of the client's compliance manual and CCO training procedures.

With such extensive parameters, it is no wonder why investment firms who opt not to receive mock SEC audits have such a difficult time dealing with SEC compliance regulations and SEC audits. In order for your investment firm to avoid harsh penalties and fines a mock SEC audit is your only chance to fulfill the SEC needs and focus on more important issues like making money for your clients.

But who should you turn to for all of your mock SEC audit needs?

An outside accounting and compliance firm will be able to conduct a mock SEC audit and help your firm get all of its financial records and files in order. An outside accounting and compliance firm will also train and coach your entire staff about how to measure risk assessment and prepare for your annual SEC audit. A mock SEC audit, conducted by an outside accounting and compliance firm, will also catch any mistake that might have been overlooked during the year. Again, the SEC is handing out stiffer penalties than ever before and investment firms cannot afford to skip a mock SEC audit and risk non-compliance status.   

So who should you turn to for all of your mock SEC audit needs?

A mock SEC audit should only be conducted by an established accounting and compliance firm who has a five star reputation on Wall Street. The best accounting and compliance firm for the job will always have a plethora of high profile securities firms as their clients and be able to back up their track record with facts and data and not merely with empty promises. A reputable firm will also have ex SEC officials on staff who continue to have strong ties with their ex employer and are on the fore of any new SEC regulation and guideline changes. And finally the best accounting and compliance firm for the job will have been in business for countless years and will be located in the heart of the financial district where they are performing mock audits on a daily basis for an array of investment firms. If you would like more information about a mock SEC audit for your investment firm then fill in the form to the right of the page and an expert mock SEC audit professional will be happy to set up your free compliance consultation.