Branch Office Audits

FINRA 3010 places strict supervisory standards on branch offices and broker dealer transactions for all portfolio management.


ACI’s branch compliance supervisory program alerts our clients of possible compliance shortcomings and provides corrective recommendations geared specifically towards the structure of branch offices. ACI’s branch office audit will include review of all major compliance regulations effecting broker-dealers including, but not limited to:

  • Review of the supervisory manual, due diligence procedures, advertising/marketing materials, and records for compliance
  • Recommendations of updates necessary to meet new and revised regulations
  • Recommendations for procedural updates that would maintain compliance while cutting costs





To inquire into ACI's Branch Office Audit services, contact us at info@acisecure.com.
 

 

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