BD- Broker-Dealer OSJ Branch Preliminary Audit Records Request List (RRL)
BD- Broker-Dealer OSJ Branch Preliminary Audit Records Request List (RRL)
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The 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 & records to be made available during a regulatory examination. Members also downloaded the OSJ Branch Preliminary Audit Questionnaire (PAQ) and OSJ Branch Audit Review Template.
Version/Update: V.2/ June 25, 2020
Total Page Count/Format: 4/.docx
Source/Author(s): Connexien