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:
To ensure that your organization remains compliant with all regulatory requirements, call the professionals at Taurus today on 1-888-963-9513.
For more information on how Taurus can partner with you, call us at 1-888-963-9519.