BDCA can help your firm design an audit module that will effectively detect existing and potential compliance and supervisory problems. BDCA has staff members who worked for the NASD/FINRA for many years and can help you create and design audit procedures and modules that will help you stay ahead of potential compliance and supervisory issues at the Home Office, OSJ and branch office level.
Please call us at (770) 263-6003 to find out how BDCA can help you design an effective audit program.