Sadis & Goldberg’s Regulatory and Compliance, Financial Services & Litigation Groups Form Mock Audit Group to Focus on SEC and FINRA Mock Audits and Compliance Reviews

Our Mock Audit Group, led by a former SEC Senior Compliance Examiner Dan Viola, consists of lawyers who have been providing compliance reviews for over twenty years. These reviews encompass a review of compliance policies and procedures that are required to be maintained by a client under federal and state securities laws. Our team leverages its multi-disciplinary expertise to provide insight into best practices from a compliance, enforcement and business perspective. To learn more about our custom solutions, please click on the link below or contact: Daniel G. Viola, Yehuda Braunstein or Sam Lieberman at 212.947.3793.