Supervision and Audits

Supervisory Systems and Procedures

• Customized Written Supervisory Procedures
• Disclosure Forms and Tracking Systems
• Written Supervisory Control System Procedures
• Anti-Money Laundering Compliance Procedures
• Registered Representative Compliance Manuals
• Supervisory System Design and Implementation
• OSJ and Branch Office Supervisory Structure
• Annual Compliance Meetings and Questionnaires

Compliance Audits and Meetings

• Mock Regulatory Examinations
• Anti-Money Laundering Independent Audits
• Customized Annual Compliance Meetings
• Rule 3120 Annual Supervisory Control System Testing and Reporting
• Rule 3110 OSJ and Branch Office Compliance Audits
• Non-Registered Site Inspections
• Heightened Supervision Reviews
• Special Cause Examinations and Investigations