AuditSolutionsTM |
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Remember The Big Picture |
Making Compliance Bearable. |
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| OSJ Examinations | |||
| Specially designed audits to ensure review of supervisory procedures and sales practices as well as routine books and records. | |||
| Sales Branch Examinations | |||
| A complete examination of all areas of a sales branch location or individual representative with emphasis on sales practices and selling-away problems; for both registered and non-registered locations. | |||
| Supervisory Control Procedures Testing And Certification | |||
| Our project approach to meeting the compliance requirements imposed by conduct rule 3012 and the accompanying requirements of conduct rules 3013 allows the firm to meet the requirements and provide training for home office personnel in the ongoing testing and certification process. | |||
| Home Office Internal Audits | |||
| A specially designed mock regulatory examination designed to identify weaknesses that could become a problem during a regulatory examination. | |||
| AML Audits | |||
| Provide client firms with self assessment of the modules for compliance with the USA patriot act and treasury rules we may provide qualified audit personnel to conduct an AML Audit | |||
| Privacy Audits | |||
| A specially designed audit to test and verify the control systems in place to maintain and protect the confidentiality of client information as well as proprietary information of the broker-dealer or advisor in both the home office and branch office locations. | |||