In the heavily regulated world of forex brokerage, compliance is not optional — it is the foundation your operating licence rests on. Our independent forex compliance audit identifies gaps in your regulatory framework before regulators do. From AML audit and KYC compliance review to CySEC, FCA and ASIC regulatory gap analysis, we assess every layer of your compliance programme and deliver a clear, actionable remediation plan.
Unlike general compliance consultants, AdviseCore specialises exclusively in forex brokerages and trading firms — meaning our auditors understand the specific obligations your licence carries, the expectations of your regulator, and the operational realities of running an FX business.
A systematic review of your entire regulatory compliance framework
We verify that your brokerage holds the correct licences for all markets and product types you operate in, and that your regulatory reporting obligations — to CySEC, the FCA, ASIC or whichever authority governs your licence — are being met accurately and on time. Gaps here carry significant fine and licence suspension risk.
Our AML audit evaluates your Anti-Money Laundering programme end-to-end: policies, transaction monitoring, suspicious activity reporting, PEP screening and record-keeping. The KYC compliance review assesses onboarding procedures, CDD and enhanced due diligence processes, and identifies where your programme falls short of current regulatory expectations — before your regulator identifies it first.
Client fund protection is one of the most scrutinised areas in forex broker regulation. We assess how client funds are segregated, safeguarded and reported — checking alignment with your regulator's specific requirements for fund handling, reconciliation frequency and disclosure to clients.
Whether you hold a CySEC licence operating under MiFID II, an FCA authorisation under COBS, an ASIC licence or operate under an offshore framework, our audit is tailored to the precise obligations of your regulator. We identify the specific gaps between your current practices and what your regulator expects — and provide a prioritised remediation roadmap.
We review your data handling practices, access controls and breach response procedures to ensure alignment with GDPR (where applicable) and the data security requirements embedded in your regulatory obligations — minimising the risk of regulatory action and reputational damage.
Protect your licence, your clients and your reputation
by identifying and closing compliance gaps before your regulator does
with specific, actionable recommendations tailored to your regulator's standards
through demonstrated compliance transparency and robust fund protection
with an audit-ready compliance framework across all key areas
with a clean, documented compliance record that reassures buyers and investors
with a compliance framework ready for multi-regulator environments
Talk to our forex compliance audit specialists about identifying and closing the gaps in your regulatory framework.
Request a Free Consultation