Broker Dealer Solutions
 

Nationwide Auditing

B/D Solutions has auditors located nationwide to perform multiple audits within a specific geographical region. We also perform specialized audits required by FINRA.

The B/D Solutions Audit Process:

  • Thorough interviews and procedural analyses are conducted.
  • Specialized custom-made audit software allows us to capture information about your OSJ or branch office and create a formal audit report.
  • The information obtained during the audit is housed in a database allowing B/D Solutions to track and follow up on any deficiencies.
  • Any information that was not provided at the time of the branch office audit will be obtained by follow-up calls to OSJ managers and branch office managers.
  • Depending on the audit findings, follow-up is conducted in accordance with directions given by the Chief Compliance Officer or OSJ Managers.
  • Should an OSJ Manager or Branch Office Manager fail to respond or responds inappropriately, the audit is referred to the Chief Compliance Officer for review.

Our relationship far exceeds the length of the audit. B/D Solutions continues to follow up with your firm to ensure that the necessary measures have been made to rectify any compliance issues.

Click here to get a FREE good-faith estimate for auditing your offices.

 

B/D Solutions Consulting • 4060 Peachtree Road,
Suite D #322 • Atlanta, GA 30319 • 877-423-4636 • Copyright © 2004
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