File Reviews for Brokerages

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

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1

Evaluate

We perform a detailed evaluation of your files

2

Review

We review our findings and identify discrepancies

3

Minimize Risk

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

Adversed File Review

$95

per Adversed file

Review denial, incomplete applications, withdrawn files to determine ECOA timing and accuracy requirements.

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Initial Disclosure Package Review

$185

for Initial Disclosure Package Per File

Accuracy of information & timing reviewed.

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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

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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.

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