File Reviews for Brokerages

We review Application Disclosures and Adverse Files for the must-haves, so you don’t have to


We perform a detailed evaluation of your files


We review our findings and identify discrepancies

Minimize Risk

We compile a non-compliance report and provide recommendations to reduce risk

Adversed File Review


per Adversed file

Review denial, incomplete applications, withdrawn files to determine ECOA timing and accuracy requirements.

Initial Disclosure Package Review


for Initial Disclosure Package Per File

Accuracy of information & timing reviewed.

A routine file review is an essential part of a brokerage built on a construct of compliance.

Demonstrate ongoing efforts to maintain compliance

Mitigate new-hire errors that can put brokerages into vulnerable territory

Eliminate fines with a proactive approach to the health of your brokerage

The SCP team of compliance specialists will work with you to find and fix errors before Regulators do. We then review our findings and recommend best next-steps to achieve compliance. This provides a significant measure of protection for brokerages and reduces the need for costly 3rd party audits.