BD- Office of Supervisory Jurisdiction (OSJ) Branch Preliminary Audit Questionnaire

The updated OSJ Branch Preliminary Audit Questionnaire (PAQ) is typically submitted to a broker-dealer OSJ Branch Office to complete in advance of their upcoming scheduled OSJ Branch Office compliance inspection.  All answers (including updates for Reg BI/Form CRS) provided by the OSJ Branch Office allow for the reviewer to further focus the testing & verification processes and better analyze points of risk related to the OSJ Branch location under review. Members also downloaded the OSJ Branch Office Preliminary Exam Records Request List and OSJ Branch Office Audit Review Template.

Version/Update: V.2/ June 25, 2020

Total Page Count/Format: 6/.docx

Source/Author(s): Connexien