ADVANCED

Annual review gap analysis

Based on the FINRA Rule 3010 requirement that Member Firms conduct periodic reviews of their compliance program we will Cordium-Speedometerconduct a review of your business operations and compliance program via the Firm’s compliance manual to determine the level of compliance with applicable FINRA Rules and regulations and the performance of the Compliance Staff in executing the stated tasks as set out in the Manual.

The scope of this review is intended to serve as the internal inspection of the firm’s primary office of supervisory jurisdiction as provided under FINRA Rule 3010.