Compliance Audits

By identifying the focus areas for improvement, M-PACT can help identify the focus areas for assistance.

One-Time Compliance Audit

  • How is your business doing?
  • Where are pain points?
  • Do you have written operating procedures?
  • Are they being followed?
  • Recommendations for improvement

Ongoing Transaction Audits

  • Proactive approach
  • Monthly compliance reports
  • Broker report cards
  • Identify compliance risks and co-develop corrective actions
  • Post entry assistance