Independent broker dealer reviews
[DOC File]Investment Analyst/Consultant
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Technology expertise: Internet, client management databases, etc. Computer programs: Microsoft Word & Excel, optical scanning, broker-dealer online account management, etc.. Private Client Associate - …
[DOCX File]Firm Policy - FINRA
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it is intended that broker-dealers, and indeed every type of financial institution to which the suspicious transaction reporting rules of 31 CFR part 103 apply, will evaluate customer activity and relationships for money laundering risks, and design a suspicious transaction monitoring program that is appropriate for the particular broker-dealer ...
[DOC File]Audit Procedure - ACUIA
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f. Review the broker’s acknowledgment of order, noting the price, etc; g. Trace the credit union’s fee or bond dealer fee, where applicable, to the income account; h. Check the prices at which transactions were executed against an independent …
[DOC File]AICPA Plain English Guide to Independence
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Broker-dealer, investment adviser, or investment banking. Legal services. Expert services unrelated to the audit. Under PCAOB rules, the following types of services are also subject to significant …
[DOCX File]Education
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Cultivated a new Broker Dealer (BD) relationship as account manager for SBG: Developed marketing plans with BD senior management to increase insurance sales through 400 independent sales …
[DOCX File]Disclosure Letter for Existing Municipal Advisor Agreement
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Broker-Dealer [and Investment Advisory] Business. Municipal Advisor is a broker-dealer [and investment advisory firm] that engages in a broad range of securities-related activities to service its …
[DOC File]CASH - NASACT
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5. Do approval procedures ensure only investments permitted by law or policies are acquired? 6. Do approval procedures include integration of the investment program with the cash management program and with expenditure requirements? 7. Is due diligence of broker-dealer …
[DOC File]REQUEST FOR PROPOSAL
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Providing independent reviews. ... Does your firm provide any broker/dealer, money management or fund-of-fund services? If the answer to the previous question is “yes”, how does your firm manage …
[DOC File]Analysis of Senator Tim Johnson’s Proposed Study of Broker ...
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SEC policy staff in the Division of Investment Management and Division of Trading & Markets are aware of the effectiveness of investment adviser and broker-dealer regulation, as well as the gaps and overlap in standards for investment advisers and broker-dealers. In addition, as appropriate, the SEC seeks out and reviews independent …
[DOC File]Consulting Services Engagement Letter
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The Prime Broker will provide such consulting assistance services in complement to, and not in place of, the Investment Manager’s independent professional advisors and service providers.
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