FrontLine Compliance Forensic Testing of Compliance Functions
Are you prepared?
Several regulations require annual testing and/or certification of compliance functions. FrontLine Compliance provides your firm with an independent analysis of your policies and procedures to help you determine if your compliance and supervisory systems are reasonably designed to review and monitor compliance and to detect and prevent violations.
FrontLine Compliance is a qualified independent third party, providing forensic testing of specific firm functions to ensure compliance with applicable rules and regulations.
Our testing and certification process follows the exact requirements of the rules as well as determining if your firm qualifies for any exemptions under the rules. Plus we offer complete testing programs that make creating your Annual Compliance Review a snap. Every report is customized to the firm's business model and high risk areas identified.
To request information on our Annual Compliance Review services click here.