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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