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The SEC has increased the use of third parties to insure that firms sanctioned by the SEC in enforcement proceedings are making the changes they've agreed to (or, in the case of enforcement proceedings, the changes they've been ordered to make)
These provisions typically require a sanctioned firm to hire, at its own expense, a neutral, outside party to monitor and confirm to the SEC that the ordered changes have in fact been made.
This oversight can run for months or years. No firm wants to experience this given a choice.
We are qualified to act as an outside party and will do so in a supportive, constructive manner so that your experience is both productive and remedial.
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