...settle for
canned compliance
when you can have a
Compliance Partner
on your Team?®

Supervision and Audit Services

Supervisory Systems and Procedures

• Customized Written Supervisory Procedures
• Written Supervisory Control Systems
• Customized Anti-Money Laundering Procedures
• User-Friendly Field Compliance Manuals
• Supervisory System Design and Implementation
• OSJ and Branch Office Structure Design and Implementation
• Registered Representative Questionnaires and Disclosure Forms

Compliance Audits and Meetings

• Annual Compliance Meeting Programs
• Anti-Money Laundering Independent Audits
• Annual Supervisory Control System Testing and Reporting
• Mock Regulatory Examinations
• Branch Office Field Compliance Audits
• Non-Registered Site Inspections
• Producing Manager OSJ Reviews
• Heightened Supervision Reviews
• Special Cause Examinations and Investigations

BD Compliance Partners, Inc. is your trusted broker / dealer compliance consultant.

Telephone: (360) 833-1484   Fax: (360) 833-1485

Copyright © 2009 B/D Compliance Partners, Inc. All rights reserved.