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Why does my firm need an annual review, SEC Exam, Reasons for SEC Exam, Investment Adviser Mock Audit, Do I need an annual review, Swayze LLC
Why do you need a Mock Audit aka Annual Review?

Reason #1: Rule 206(4)-7 of the Advisers Act requires federally registered firms to have policies and procedures designed to prevent and detect compliance failures, and review policies and procedures at least annually. Bottom-line, if you're SEC-registered, it's required. If you're state registered, the requirement can vary.

Reason #2: Ready or not, here they come! SEC EXAMS...they are coming! No matter your firm's situation, they are going to call or knock on your door. The name of the game isn't hide and seek, it's exam readiness. The best way to tell you're ready is to do a practice run. That's why it's called a mock audit after all. 


Reason #3: A mock audit enables us to triage the current status of your compliance program and determine which areas require the most attention first. By doing this, we can increase your exam readiness and reduce your risk of SEC audit deficiencies in the most efficient way possible. 

Learn more about our process.

Schedule a consultation to learn more about Mock Audits

Mock Audit Process

Our 5 step process enables us to complete a comprehensive mock audit, preparing you for your next examination.
Swayze LLC Mock Audit Process
Audit Process
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