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Description
BD- Broker-Dealer OSJ Branch Office Audit Review TemplateThe updated Broker Dealer OSJ Branch Office Audit Review Template is designed to meet the requirements for an internal annual compliance inspection in accordance with FINRA Rule 3110(c)(1)(A) whereby each member shall conduct a review, at least annually (on a calendar year basis), of the businesses in which it engages. The review shall be reasonably designed to assist the member in detecting and preventing violations of, and achieving compliance with,
The updated Broker-Dealer OSJ Branch Office Audit Review Template is designed to meet the requirements for an internal annual compliance inspection in accordance with FINRA Rule 3110(c)(1)(A) whereby each member shall conduct a review, at least annually (on a calendar-year basis), of the businesses in which it engages. The review shall be reasonably designed to assist the member in detecting and preventing violations of, and achieving compliance with, applicable securities laws and regulations, and with applicable FINRA rules, including Reg BI/Form CRS information. Members also downloaded the OSJ Branch Preliminary Audit Questionnaire, OSJ Branch Preliminary Exam Records Request List, and Annual Subscription Updates.
Version/Update: V.7/ November 1, 2023
Total Page Count/Format: 47/.docx
Source/Author(s): Connexien
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Exchange/Return Notes
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