Mock Audits and Gap Analyses

The SEC and FINRA conduct audits and investigations of financial services firms in a variety of formats. Greyline ensures that you’re ready.

We offer a mock audit or gap analyses to prepare firms for the process of being audited in a controlled setting and identify actual risks and potential weaknesses. Our goal is to ensure that post-review, your compliance program is stronger and you are ready for your next regulatory examination.

Our professional staff includes individuals who worked for regulators conducting examinations and audits.

Be ready when the SEC and FINRA come calling. Contact us to set up your mock audit or gap analysis.

  • About Greyline

    Greyline provides outsourced compliance services for private fund managers, commodity pool operators and commodity trading advisors, traditional investment advisors and other financial firms.

  • Contact Us

    44 Montgomery Street, Suite 1900A, San Francisco, CA 94104

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