We assess the strength of your firm’s compliance program.
What We Do
We understand that the compliance obligations of the SEC are significant and constantly changing. We also understand the importance of fulfilling these obligations and exam readiness. As such, we assess your firm’s compliance program and evaluate your firm’s exam preparedness for future regulatory examinations.
“We have used SEC³ over the years to supplement the work of our in house compliance staff by conducting periodic mock reviews. In the past, we have used other consultants so we know the firms in the field and we have high expectations for service. We keep going back to SEC³.”
Client Since 2012
Mock Compliance Review
Our Mock Compliance Reviews are tailored based on your firm’s identified pain points. Most reviews will start with an initial gap analysis to identify areas where further review is warranted. Our goal is to deliver a report of our findings and recommendations after you have remediated so the report can note this. We schedule follow-up meetings with senior members of the firm to discuss the findings and recommendations.