Mock SEC Examination

An SEC Exam is possible at any moment, but you can be ready when the moment comes. Our SEC Mock Examination service provides a comprehensive look at your firm’s compliance program, without the stress.

Why Choose ABL for a Mock SEC Exam?

• Authentic Exam Experience: We simulate an SEC examination, testing your policies, procedures, and operations to identify areas of risk and non-compliance.
• Comprehensive Review: We dive deep into your compliance policies and procedures, compliance program, and disclosures to ensure everything meets regulatory standards.
• Actionable Insights: We provide detailed feedback on your current compliance status, along with tailored recommendations for enhancements.