Thank you! You're on your way to being prepared for your next audit.
This checklist will help you prepare and plan for your next Broker Dealer audit. By using this checklist, you will be able to:
- Prepare, in advance, your audit support team
- Designate one or more staff members to gather and organize required documentation
- Feel confident in your ability to faciliate your audit so that it is done on-time and stays on-track.
*We've also sent you a download link to your email address provided.
