BROKER/DEALER
The most efficient means of establishing which areas require Firm Element Continuing
Education is to perform home office and branch office audits. Deficiencies found during these
audits can be used as the subject of periodic compliance meetings and as Continuing Education
memoranda to be distributed throughout the year.
Ms. Larson is also available as a speaker at Annual Compliance Meetings and other specific
compliance-related meetings. Content of presentation focuses on areas of concern discovered
during FINRA branch office examinations, and how to use this information to avoid making
inadvertent mistakes.
BRANCH OFFICE AUDITS/FIRM ELEMENT CONTINUING EDUCATION
WEB/CRD & IARD FILINGS
PRE-REGUALTORY MOCK AUDITS
We will preform a mock audit of your Home Office location to better prepare you
for a regulatory audit.
PREPARE ANSWERS TO POST-REGULATORY DEFICIENCIES
Let us assist you in answering deficiencies found during a regualtory audit and
create the required changes in your compliance and/or operations areas.
•
Broker/Dealer and ADV original filings and amendments.
•
Forms BDW and ADV-W.
•
Registered Representative and Investment Adviser Representative original filings and
amendments, including Form U-5 filings.
•
FOCUS, CUSTODY, SSOI, SCHEDULE I, and various regulatory electronic filings.
•
Annual Report, plus additional annual filings.
COMPLIANCE CONSULTANTS, INC
11490 N PINEHURST CIRCLE
MEQUON,WI 53092
BROKER/DEALER
The most efficient means of establishing which areas require Firm Element Continuing
Education is to perform home office and branch office audits. Deficiencies found during these
audits can be used as the subject of periodic compliance meetings and as Continuing Education
memoranda to be distributed throughout the year.
Ms. Larson is also available as a speaker at Annual Compliance Meetings and other specific
compliance-related meetings. Content of presentation focuses on areas of concern discovered
during FINRA branch office examinations, and how to use this information to avoid making
inadvertent mistakes.
BRANCH OFFICE AUDITS/FIRM ELEMENT CONTINUING EDUCATION
WEB/CRD & IARD FILINGS
PRE-REGUALTORY MOCK AUDITS
We will preform a mock audit of your Home Office location to better prepare you
for a regulatory audit.
PREPARE ANSWERS TO POST-REGULATORY DEFICIENCIES
Let us assist you in answering deficiencies found during a regualtory audit and
create the required changes in your compliance and/or operations areas.
•
Broker/Dealer and ADV original filings and amendments.
•
Forms BDW and ADV-W.
•
Registered Representative and Investment Adviser Representative original filings and
amendments, including Form U-5 filings.
•
FOCUS, CUSTODY, SSOI, SCHEDULE I, and various regulatory electronic filings.
•
Annual Report, plus additional annual filings.
COMPLIANCE CONSULTANTS, INC
11490 N PINEHURST CIRCLE
MEQUON,WI 53092