Home Office and Branch Audits

SRP provides an audit program with three primary objectives: (1) Assist in preparation of an actual regulatory examination; (2) Provide an objective assessment of the compliance system by identifying potential problem areas; and (3) Assist firms with their supervisory responsibility regarding branch office examinations.

Broker/Dealer Compliance services offered by SRP include, but are not limited to, the following:

  • Financial Responsibility

5. Advertising and Correspondence

  • Supervisory Procedures

6. Trading and Market Making

  • Registrations

7. Outside Business Activities

  • General Sales Practices

8. Firm or Regulatory Specific Issues

Upon completion of each audit, a confidential report is issued to management detailing the audit findings with recommendations for corrective actions.

Home | About SRP |Services | Solutions | Resources | Contact Us

Copyright © 2000-2009 Securities Resource Professionals. All Rights Reserved.| Privacy Policy