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Branch Audit & Review

Let Brokerage Consulting Services be your Audit Team. We have trained branch auditors that will conduct your required branch reviews and also conduct required compliance meetings and provide targeted continuing education.

We call our service "Branch Insite." Let us tell you about the advantages of our contract services. The payoff comes through in increased branch compliance and reduced over all cost.

Let Brokerage Consulting Services design a Branch (or Home Office) Audit or Audit and Continuing Education Program for your firm today!

We Will:

	Conduct on-site branch audits
	Interviews with branch personnel
	Review of books and records
	Review of sales practices
	Review of compliance with rules and regulations of the industry

Successful securities firms are constantly striving to balance the desire to lower overhead and increase profitability with the need to maintain an effective compliance program in an increasingly complex regulatory environment.

We can also assist our clients in developing a supervisory system designed to monitor securities-related activities and help detect and prevent regulatory and compliance problems. Brokerage Consulting Services provides an objective assessment of your firm's compliance program by identifying potential problems areas before they result in customer complaints or regulatory concerns.

Information

We assist our clients in meeting their supervisory responsibility regarding branch office inspections. Each firm has unique compliance needs in addition to universal regulatory requirements. BCS performs comprehensive compliance audits for the branch offices or Broker/Dealers and Registered Investment Advisers.

Questions?

As a service to our customers and prospects Brokerage Consulting Services will provide you with "the short answer" to your securities industry related questions. Just click here and and type in your question . We will answer by email or phone. If the question falls outside of our short answer constraints we will also offer other solutions for you to get an answer.

Glossary

Are some of the terms used on this site and others securities industry sites not in your standard lexicon? Click on the link below to the NASD's Resources Page and then click on the glossary link for a very extensive list of industry terms.