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| On-Line Audits: Rule 3012 Gap Analysis Workbook for BDs. |
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New Conduct Rule 3012 requires broker-dealers to perform a thorough test of internal compliance controls to verify the effectiveness of their compliance systems. The "gap analysis" suggested by regulators in Notice to Member 05-29 provides the framework for a meaningful approach, but also presents significant challenges to small and mid-size firms.
National Regulatory Services is pleased to announce the release of our web-based solution. The 3012 Gap Analysis Workbook provides a framework for your internal review, prompting you to test important areas of compliance in your firm, and providing a user-friendly mechanism for recording your findings.
The 3012 Gap Analysis Workbook also provides a simple yet thorough follow-up tool designed to ensure that you will leave no stone unturned in finding and fixing any weaknesses you uncover.
Don't waste another moment—order the 3012 Gap Analysis Workbook today. The cost is only $299. To request more information please fill out our online form and we will contact you as soon as possible. |
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