Self Audit Rule 3012 Gap Analysis Workbook™
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. This online solution 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.
In addition, 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 by calling 860-435-0200.
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. This online solution 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.
In addition, 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 by calling 860-435-0200.
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