Securities firms must strive to maintain the highest compliance principles in order to protect their customers and their business. To review and identify potential compliance risks, many organizations participate in ongoing branch audits within their business units.

Taurus provides the following branch audit services:

• Partnering with the central or home office to develop and implement branch supervisory procedures
• Formulation of written compliance procedures
• Training for all registered representatives
• Assurance that the branch is meeting the requirements of Rule 3101(c)
• Follow up steps for any red flags discovered during the branch audits
• Interviews conducted with branch personnel
• Thorough review of all organizational books and records
• Review and ongoing testing of the firm’s compliance and supervisory procedures
• Reporting of any issues discovered

Branch audits are an important component of an organization’s overall compliance plan. The professionals at Taurus will partner with your organization to develop a comprehensive compliance program addressing any regulatory compliance requirements.

Our holistic approach ensures that business units work harmoniously, bridging the gap between business operations and compliance, to produce your desired business results.

To find out more about Taurus branch audits, call us on 1-800-388-8822.