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Compliance Checklist - Structuring a Broker-Dealer Review Program

Book Publication Date: Jul 2021
Description: Checklist written by Sutherland Asbill & Brennan LLP attorney Clifford E. Kirsch; guidance on how to structure a broker-dealer review program This Compliance Checklist is adapted from "Conducting an Annual Review," written by Mari-Anne Pisarri of Pickard and Djinis LLP. "Conducting an Annual Review" appears in chapter 21 of Investment Adviser Regulation (PLI 2005).
Type: Checklists
PLI Item #: 41016
Practice Area: Broker-dealers, Investment fund management, Practice skills (Securities and other financial products), Regulation and compliance (Securities and other financial products), Securities and other financial products, Securities filings and financial statements

Keywords: "Compliance Checklist - Structuring a Broker-Dealer Review Program"; NASD; broker-dealer compliance programs; supervisory controls; compliance policies; assessment program; for-cause review; annual roundup; compliance procedure

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