If your firm currently uses its OSJ Managers to conduct audits of branch offices, BDCA can train your OSJ Managers on auditing procedures and
Audit Services
BDCA offers a variety of audit services designed to help your firm comply with securities rules and regulations. Please take some time to review the links below to find out more about how BDCA’s audit services can help your firm.
BDCA can help your firm design an audit module that will effectively detect existing and potential compliance and supervisory problems. BDCA has staff members
NASD Rule 3011 requires most broker/dealers to perform annual independent testing for compliance with anti-money laundering (AML) rules and regulations. Certain firms qualify for
NASD Rule 3010 mandates an annual inspection for each Office of Supervisory Jurisdiction (OSJ) and any branch office that supervises one or more non-branch
Have you been notified that you are going to be the subject of a regulatory examination? If so, BDCA can help you prepare for