BD- Broker-Dealer Quarterly Compliance Review Checklist Broker or cause to be submitted

or cause to be submitted

non-public information

Source/Author(s): Connexien

Due Diligence Checklist for Third-Party Vendors

The ESA Template allows for broker-dealers to customize the terms and conditions and specific amounts and % allocations of its costs-sharing arrangements and memorialize such arrangements in accordance with books and records requirements

BD- Broker-Dealer Quarterly Compliance Review Checklist Broker or cause to be submittedThe Broker Dealer Quarterly Compliance Review Checklist is designed to provide ongoing documentary evidence of a broker dealers supervisory obligations under FINRA Rule 3110(a). The Quarterly Checklist allows the reviewer to conduct a series of quarterly compliance reviews to determine and properly assess a firms level of compliance on a regular basis. Information captured on the Checklist includes eighteen (18) separate areas of risk and compliance