BD- Broker-Dealer Verification of Customer Address Change Notice Investment Adviser Firms should make “diligent and

Firms should make “diligent and prudent efforts” to obtain information about the client’s existing 401(k) plan or IRA

The ESA Template allows for broker-dealers to customize the terms and conditions and specific amounts and % allocations of its costs-sharing arrangements and memorialize such arrangements in accordance with books and records requirements

8/September 17

Our Broker-Dealer OSJ Branch Office Audit Review Template Annual Subscription Updates are designed to keep broker-dealers informed and updated on material changes to the regulatory landscape that may impact their internal audit processes

Source/Authors(s): Connexien

BD- Broker-Dealer Verification of Customer Address Change Notice Investment Adviser Firms should make “diligent andThe Broker Dealer Verification of Customer Address Change Notice serves as an important part of a firms overall compliance program by meeting certain requirements under FINRA Rule 3110(C)(2)(A)(v) regarding changes of customer account information, including address and investment objectives changes and validation of such changes. The customizable Notice allows firms to memorialize and document their notification processes regarding customer address