Branch Office Reviews

BROKER DEALER

Comprehensive Compliance Services

Written Supervisory Procedures

Supervisory Controls (3012-3013)

AML Programs & Audits

Full Service B/D Registration

Continuance in Membership

Branch Office Audits

NASD Mock Examinations

State Registrations and Licensing

FinOp & FOCUS Consulting

Seminars & Compliance Meetings

CE Needs Assessment & Training

INVESTMENT ADVISER

HEDGE FUND

Compliance Consulting

Broker Dealer

Home & Branch Office Reviews

Branch Office Audits
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SCA’s Branch Audit Program is a consultant-based program which provides the following branch compliance supervisory services:

1.	Assist the home office develop and implement a branch supervisory system which should include:

	Clear and effective supervisory structure
	Adequate written procedures
	Training
	Evidence of supervisory review
	Follow-up of exceptions ("red flags")
	Monitoring effectiveness

2.	Assist the Firm in modifying its branch supervisory structure to meet the new requirements of Rule 3010(c) including answers to the following questions:
	Who may now conduct office inspections?
	Can we use the limited size and resources exception?
	How do we determine which branch managers are subject to the heightened supervision requirement?

3.	Conduct branch audits which include:

	Interviews with branch personnel
	Review of books and records
	Review of compliance with industry rules and regulations
	Testing and verification of the firm's supervisory and compliance policies and procedures

4.	Report findings and recommendations and address all issues included in amended Rule 3010(c)

5.	Conduct follow-up audits for offices as necessary