Are You Ready for July 1st?
Effective July 1, 2024, your firm must choose to either participate in the FINRA Remote Inspections Pilot Program or return to conducting on-site inspections. If you opt in to the virtual inspection program you must be prepared to submit your inspection results, including significant findings, to FINRA on a quarterly basis. You have a decision to make. Either way, we have you covered.
DFP Partners conducts on-site or virtual branch inspections to review adherence to your firm’s compliance program for both Broker-Dealers (BDs) and Registered Investment Advisers (RIAs).
Our experienced team partners with your staff to examine ongoing regulatory compliance within each office of your branch network.
Our compliance professionals employ a technology-agnostic approach to conducts an objective branch inspection.
Our experienced team of former regulators and chief compliance officers leverages years of extensive knowledge to review your compliance program, identify potential issues, and highlight areas that may require corrective action.
We work diligently alongside your staff to efficiently guide each office within your network through the inspection process, ensuring that your branches are being reviewed thoroughly.