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
Advertising and Correspondence Review Utilizing our audit review
Prepare you for an actual regulatory examination.
Provide you with an independent assessment of your compliance
Assist you with the supervisory responsibilities regarding branch
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.