3012/3013 Audits

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.

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

Develop comprehensive 3012/3013 compliance audit programs
Work with your firm to identify existing producing managers and develop supervisory procedures
Prepare applicable written compliance supervisory procedures
Prepare the necessary certifications

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