Broker-Dealer OSJ Branch Audit Records Request List (RRL)

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.3/ July 15, 2022

Total Page Count/Format: 4/.docx

Source/Author(s): Connexien