Please follow the link below to download our comment letter.
Insights
Aug
19
Comment letter regarding proposed changes to FINRA Rule 3110 and the issue of branch office inspections
Categories
NEW YORK
42 Broadway, Suite 12-129
New York, NY 10004
Telephone: 212-509-7800
FLORIDA
7000 W Palmetto Park Rd., Suite 503
Boca Raton, FL 33433
Telephone: 561-453-3800
*SOC 1 Type 2 certification only covers:
Fund Accounting, Administration and Investor Services.