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Description
Broker-Dealer OSJ Branch Audit Records Request List (RRL)The updated OSJ Branch Office Preliminary Audit Records Request List (RRL) is typically used when preparing for a broker dealer OSJ compliance inspection. The Records Request List is designed to customize the list of broker dealer books & records (including updates for Reg BI Form CRS) to be provided for review both before and during the onsite portion of the compliance inspection. The RRL also gives the OSJ Branch a better understanding of the books
The updated OSJ Branch Office Preliminary Audit Records Request List (RRL) is typically used when preparing for a broker-dealer OSJ compliance inspection. The Records Request List is designed to customize the list of broker-dealer books & records (including updates for Reg BI/Form CRS) to be provided for review both before and during the onsite portion of the compliance inspection. The RRL also gives the OSJ Branch a better understanding of the books & records to be made available during a regulatory examination. Members also downloaded the OSJ Branch Preliminary Audit Questionnaire (PAQ) and OSJ Branch Audit Review Template.
Version/Update: V.3/ July 15, 2022
Total Page Count/Format: 4/.docx
Source/Author(s): Connexien
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