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Members also downloaded the OSJ Branch Preliminary Audit Questionnaire (PAQ) and OSJ Branch Audit Review Template
Upon completion and signing
Members also downloaded Broker-Dealer Quarterly Compliance Review Checklist and Broker-Dealer Monthly CRD Forms & Filings Review Checklist
The Quarterly Checklist allows the reviewer to conduct a series of quarterly compliance reviews to determine and properly assess a firm’s level of compliance on a regular basis
Total Page Count/Format 9/
Rollover Due Diligence Form for DOL PTE 2020-02 NY Office of the Attorney General Library Members also downloaded the OSJThe Rollover Due Diligence Form for DOL PTE 2020 02 serves as an important part of a firms overall compliance with the Department of Labors (DOLs) adopted Prohibited Transaction Exemption 2020 02 (PTE 2020 02) where broker dealers and investment advisers making a rollover recommendation will need to document the reasons why the rollover is in the retirement investors best interest. Firms should make diligent and prudent efforts to obtain information
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