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.
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:
interview with the appropriate personnel
responsibility requirements such as: Financial Statements, Net
Capital Computation, and FOCUS Filing
and Records Compliance
General Sales Practices
Licensing and Registrations
and Correspondence Review
audit review services will:
you for an actual regulatory examination.
you with an independent assessment of your compliance program.
with the supervisory responsibilities regarding branch office
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.