SEC Mock Audit Services


SEC Mock Audit Services

Foreside recognizes the pressure that is placed on firms when establishing and maintaining compliance programs, and also recognizes the concerns that firms may have regarding inevitable SEC examinations. Foreside specializes in preparing and conducting SEC examinations through its SEC Mock Audit Services team. This team of seasoned compliance professionals can provide an effective mock audit of your firm to identify operational, procedural and regulatory weaknesses and propose remedial actions in order to help control and manage risk areas that have become focus points of SEC.

What are the benefits of Foreside conducting a mock audit?

  • You will be able to leverage the diverse experience and knowledge of our professional audit team.
  • You will be better prepared for managing resources utilized when complying an SEC examination.
  • You will be alerted to risk areas within your firm and provided an opportunity to remedy any weaknesses in advance of an SEC examination.
  • Your employees will feel a greater sense of comfort knowing the firm’s commitment to managing and alleviating risk.
  • Investors will feel a greater sense of confidence in knowing that third-party mock audits are conducted to address risk and to strengthen policies and procedures that protect their interests.

Regardless of the length of your business has been in operation, a Mock SEC Audit by our SEC Mock Audit Services team is an excellent way to define, enhance or expand your compliance program and to take steps towards reducing risk and liability.