A Comprehensive Program
B/D Solutions will enhance your current audit program or produce a new audit program that will help ensure no potential compliance problems occur at your broker/dealer. Our staff includes former NASD/FINRA employees who have years of experience in crafting audit manuals and procedures at the Home Office, OSJ, and branch office level.
A comprehensive audit program is essential to detect compliance problems at every level of your broker/dealer. We will build your audit program to suit the type of business you conduct and the current compliance trends in the securities industry.