Thu, September 27, 2012
In recent months, states and third-party auditors have begun to target brokerage firms for unclaimed property audits. Both online and traditional brokers have been targeted or have already received audit notification letters – and your firm could be next.
To help your firm prepare for and/or prevent a broker audit, Keane invites you to view the replay of our recent webinar, “Unclaimed Property Audits & the Brokerage Industry.”
This one-hour session was hosted by Mike Ryan, Senior Vice President, Valerie Jundt, Managing Director of Keane’s National Consulting & Advisory Team, and Debbie Zumoff, Chief Compliance Officer.
- The rise of broker audits and the reasons behind them
- Escheatment based on contact, RPO, and/or a combination of the two
- An update on where SEC Rule 17Ad-17 regulation is today – Best practices to prevent and/or prepare for a third-party audit