The new Conduct Rules 3012 and 3013 require broker/dealers to perform a variety of internal compliance checks to ensure that their overall compliance system is effective.

These new requirements are often simple and easy to implement for larger firms, but for small to mid size firms, these added regulatory requirements can pose added staffing and financial strain to their organizations.

Taurus can partner with your firm to enable you to comply with the 3012 and 3013 rules. The professionals at Taurus will:

• Develop comprehensive 3012/3103 compliance audit programs
• Work with you to identify existing producing managers and develop supervisory procedures
• Prepare applicable written compliance supervisory procedures
• Prepare any necessary certifications
• Address any deficiencies and work in a proactive manner to address them moving forward.

Let the professionals of Taurus partner with your firm to ensure that you remain in compliance with the Conduct Rules 3012/3013 in a comprehensive and affordable manner.

For more information on Taurus 3012/3012 audits, call us on 1-800-385-2480.