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Mock Regulatory Audits

Just like the real thing except without the penalties.  Our mock audits are designed to mimic the real thing and are designed to provide you with a “compliance checkup” of the health of your firm.  Our broker-dealer audit services are priced at a flat fee for the entire project and include:

- - Advance audit preparation

- - Document request lists prior to our onsite visit

- - Detailed client interviews

- - Review of documents and compliance processes

- - On site compliance consulting

- - A detailed audit report that discusses our findings and suggestions for improvement

Independent Anti-Money Laundering Audits

The small firm audit exception is no longer available.  That means that each broker-dealer is required to undergo an annual audit of the firm’s AML compliance program conducted by an independent person; (the AML compliance officer, any subordinate, any person who works in AML compliance cannot conduct the audit).   AML audit services include those listed above but tailored to your AML program and related issues.  AML audits are conducted by persons who are knowledgeable about the workings of the Bank Secrecy Act and the USA Patriot Act.

Rule 3012 “Gap Analysis” and Rule 3130 Annual Certification

On site audits by our experts provide an independent “second set of eyes” to examine your activities.  Our audit professionals review and test selected broker-dealer control policies and procedures and prepare an audit report as well as documentation for the required Rule 3130 annual certification.