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Home/Branch Office Audits

InvestmentCare Consulting Group provides home office and branch office audit reviews. We can conduct a thorough review of your compliance program or perform an independent audit review of your home office or branch offices. We build relationships with our clients with the goal of preventing regulatory deficiencies and improving your business.

Because all of our consultants are former NASD examiners, our audit program "mirrors" the current NASD audit, preparing you for an actual NASD regulatory examination. Our comprehensive audit reviews and templates include the following:

  • A thorough interview with the appropriate personnel
  • Review financial responsibility requirements such as: Financial Statements, Net Capital Computation, and FOCUS Filing
  • Review Books and Records Compliance
  • Review existing Supervisory Procedures
  • Examine General Sales Practices
  • Customer Account Review
  • Verify proper Licensing and Registrations
  • Product/Services Review
  • Website Compliance
  • Advertising and Correspondence Review
  • Utilizing our audit review services will:
  • Prepare you for an actual regulatory examination.
  • Provide you with an independent assessment of your compliance program.
  • Assist you with the supervisory responsibilities regarding branch office examinations.
  • Once an audit review is complete, we will provide you with a confidential report detailing the audit findings with suggestions on corrective actions. For more information regarding our home and branch office audit reviews, please contact us at 818-386-6900.

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