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