Compliance Continuity Checks

In addition to having a strong business continuity plan as part of your compliance policies, it is important that your firm also makes sure that compliance policies and procedures have continuity in and of themselves. ACI works with clients to improve on compliance continuity by streamlining operational processes, ensuring that there are not GAPs between procedure and practice, making sure that that the compliance program ehances the overall business objectives and working with clients to make sure that there is continuity in changes and updates related to SEC Exam prepration and Post-Exam compliance program changes.

Compliance Continuity Services

  • ACI can conduct a Risk Assessment of your existing compliance program to discover and rectify gaps and inconsistencies between procedures and practices in key risk areas. We can also update procedures to develop processes that will minimize operational risks
  • SEC Exam Preparation including provision of document request lists and checklists
  • Mock SEC Exams to familiarize your firm with the examination process
  • Post-SEC Exam support to respond to comment letters

Accounting Ad