AUDIT SERVICES – COMPLIANCE MOCK AUDITS
Securities compliance is at the backbone of any broker/dealer. Securities firms must strive to maintain the highest compliance principles in order to protect their customers and their business.
To prepare your organization for potential compliance audits as well as to ensure that you are in compliance with regulatory requirements, Taurus will implement and oversee mock audits on an annual basis.
Taurus’ Mock Audits include the following:
- Examination of your firm’s current compliance system
- Review of books, records and ledgers
- Review of new account applications, customer complaints, advertising and correspondence files, account files, representative files and continuing education records
- Review of your Written Supervisory Procedures Manual
- Review of the current anti-money laundering procedures
- Review of your current training plan and business continuity plan