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Due Diligence Checklist for Third-Party Vendors
The Broker-Dealer Quarterly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker-dealer’s supervisory obligations under FINRA Rule 3110(a)
officers and employees be fingerprinted and shall submit
The BCP also includes a compliance attestation
BD- Broker-Dealer Annual Compliance Meeting & Training Packet Investment Adviser Due Diligence Checklist for Third-PartyThe Small Firm Broker Dealer Annual Compliance Meeting & Training Packet serves as a ready made template to help small firms meet the requirements under FINRA Rule 3110(a)(7). The Training Packet includes twenty seven separate operations and compliance related topics to address select regulatory focal points and updates often highlighted during regulatory examinations and emphasized in each years FINRA Regulatory and Examination Priorities Letter. The
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