Risk
A lightweight audit approach that surfaces control gaps before regulators do.
Regulators expect boards to have visibility into control effectiveness. A targeted audit plan provides early warning without overwhelming lean teams.
Related resources
Continue with the core guidance pages referenced in this insight.
Independent assurance that governance, controls, and reporting stand up to regulator and board scrutiny.
We translate regulator expectations into clear policies, control ownership, and reporting routines that teams can execute and defend.
Operating model, vendor due diligence, and control design for brokerages preparing to launch or scale.
Compliance programs, execution oversight, and licensing support tailored to multi-entity brokerage groups.
Risk, governance, and licensing readiness for prop firms scaling into regulated markets.