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Version/Update: V4-09302023
Total Page Count: 63
a call tree for internal notifications and a list of federal and state regulatory agency contacts for external notifications
Members also viewed the separate customizable Broker-Dealer Due Diligence Checklist for Third-Party Service Providers
The Certification is often used for non-registered covered persons who may interact with public customers to confirm and acknowledge certain internal compliance policies
Broker-Dealer OSJ Branch Audit Records Request List (RRL) NY Office of the Attorney General Library Version/Update: V4-09302023The updated OSJ Branch Office Preliminary Audit Records Request List (RRL) is typically used when preparing for a broker dealer OSJ compliance inspection. The Records Request List is designed to customize the list of broker dealer books & records (including updates for Reg BI Form CRS) to be provided for review both before and during the onsite portion of the compliance inspection. The RRL also gives the OSJ Branch a better understanding of the books
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