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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. |
