Broker-Dealer Compliance Solutions
Branch Audit Platform
- Plan and execute a comprehensive FINRA Rule 3110(c) branch audit program using less time, money, and employee resources than traditional audit practices
- Facilitate all onsite and remote branch audits using RICS and/or firm regulatory content
- Consolidate and track all deficiencies and corrective action plans
- Generate risk reports to identify and monitor the most significant risks based on your firm’s risk profile
Remote Inspections Pilot Program Platform
- FINRA Rule 3110.18 program volunteers can perform remote inspection of qualified branch offices, including OSJs and non-branch locations(including RSLs) without an on-site visit
- Automatically generate all aggregated quarterly data for quick input into FINRA Gateway to meet reporting obligations
RSL Eligibility and Tracking Platform
- Schedule, perform and document all initial and ongoing RSL approvals and denials
- Deliver real-time and pre-scheduled reporting of RSL locations to FINRA and all firm stakeholders (Business, Registration, Compliance, etc.)
- Link all RSLs to the RICS Branch Audit Platform to schedule and performtimely audits within designated time limits