Compliance
Who We Are
Independent audit specialists for owners, buyers and investors
Our independent forex broker audits deliver a clear picture of systems, staff and processes — so owners can demonstrate value, buyers can invest with confidence, and boards can act on facts rather than assumptions.
Trusted for brokerage audits, operational due diligence, compliance reviews and M&A readiness across 40+ jurisdictions.
Read moreAudit Coverage
Every critical area, scored
Trading Systems & IT96%
Compliance (AML / KYC)92%
Risk Management89%
Financial Controls94%
Sales & Marketing85%
The principles behind every audit we conduct
Independence
As a third-party auditor with nothing to sell, our findings are unbiased — an honest assessment, never a report shaped by commercial interests.
Transparency
Our independent audits cut through internal bias to reveal the real picture behind your brokerage's operations — clarity you can act on.
Precision
Every audit is built on detailed, data-driven analysis — producing findings that help management teams and investors decide with confidence.
12
Happy Clients
42
Brokerage Audits Completed
40+
Jurisdictions Covered
46
Years Combined Experience
A full-spectrum review of your brokerage
Independent assessment of every critical area — from trading systems to compliance, risk and growth.
Trading Systems Audit
Full assessment of trading platforms (MT4/MT5, Xstation), backend software, cybersecurity and IT infrastructure.
ExploreRisk Management Audit
Capital adequacy, liquidity risk, counterparty exposure and hedging strategy effectiveness.
ExploreForex Compliance Audit
AML audit, KYC review, CySEC/FCA/ASIC gap analysis and client fund segregation assessment.
ExploreSales Process Audit
Lead lifecycle, conversion rates, client retention and sales team efficiency analysis.
ExploreMarketing Performance
Marketing strategy evaluation, ROI analysis and regulatory marketing compliance review.
ExploreGrowth Strategy
Market expansion planning, operational scaling roadmap and product diversification.
ExploreHR Operations Audit
HR policy compliance, recruitment efficiency, payroll review and performance evaluation.
ExploreFinancial Audit
Statement accuracy, revenue reconciliation, fund segregation compliance and cost review.
ExploreHow our brokerage audit works
In a structured 8–10 week process, we assess your systems, identify inefficiencies and deliver clear, actionable recommendations — helping you cut costs, maintain compliance and scale with confidence.
1
Initial Consultation
Tell us your goals, compliance concerns and operational challenges. We outline scope, timeline and a bespoke quote — at no cost.
2
The Brokerage Audit
A systematic review of trading systems, compliance framework, financial controls, risk processes and operational workflows.
3
Report & Recommendations
A detailed report with prioritised recommendations to close gaps, reduce risk and improve efficiency — ready for the board.
What clients say about working with us
Ready to see what an independent audit reveals?
Book a complimentary consultation. We'll outline the scope, timeline and a bespoke quote for your brokerage.