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Independent AML Review
Annual Review
New and Continuing Membership Applications
Exam Preparation and Guidance
WSPs and Internal Controls
Branch Office and OSJ Reviews
Regulatory Mandated Consulting
Continuing Education
Other Regulatory Matters
Crisis Management
Investment Advisor Services
Hedge Fund Registation
Branch Office and OSJ Reviews

As a broker/dealer, each firm is required to inspect their branch offices and Offices of Supervisory Jurisdiction (OSJs) according to a reasonably designed schedule.  Broker/Dealers also need to conduct an annual internal inspection of the businesses in which it engages (see FINRA Rule 3010).     

Are you unsure when it comes to focusing your branch office reviews?  Do you want to make sure that your reviews cover all regulatory "hot button issues"?

Contact MCD Consulting to develop an efficient and effective branch office examination plan.  MCD will work with you to design your own exam schedule and module for your firm that is tailored to each specific location. 

MCD Consulting
Sensible Solutions.  Exceptional Service.

email:  info@mcd-consulting.com
phone:  815.295.3994

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