Start a Broker/Dealer
All you need to know about starting a FINRA registered Broker/Dealer


Audit Services


To prepare your organization for potential compliance audits as well as ensure you meet regulatory requirements, HedgeCo will implement and oversee mock audits on an annual basis.

 

Our mock audits include:

 

  • Examination of your firm's current compliance system

  • Review of books, records, and ledgers

  • Review of new account applications, customer complaints, advertising files, account files, correspondence 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

  • Sarbanes-Oxley 404 compliance

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