Audit Review
Supervisory Procedures

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Audit Review Software

InvestmentCare Consulting Group's interactive audit review software will allow you to perform your annual internal audits based on the current NASD procedures.

Because all of our consultants are former NASD examiners, our audit templates "mirror" the current NASD audit, preparing you for an actual NASD regulatory examination. Our comprehensive audit templates include the following:
  • Review financial responsibility requirements such as: Financial Statements, Net Capital Computation, and FOCUS Filing
  • Review Books and Records Compliance
  • Review existing Supervisory Procedures
  • Examine General Sales Practices
  • Customer Account Review
  • Verify proper Licensing and Registrations
  • Product/Services Review
  • Website Compliance
  • Advertising and Correspondence Review Utilizing our audit review services will:
  • Prepare you for an actual regulatory examination.
  • Provide you with an independent assessment of your compliance program.
  • Assist you with the supervisory responsibilities regarding branch office examinations.
  • We use our in-depth knowledge of the NASD audit process to help you efficiently manage the audit process, reducing your risk exposure.

    If you would like to discuss our interactive software services in detail, please contact us at 818-386-6900.

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