FINANCIAL PROFESSIONAL SITE

Consolidated Statements

9/22/2016 /

Week one is almost down with FINRA in the house, one week to go. An area that the examiners are focusing on as an exam priority is Consolidated Account Statements. We have several offices that use eMoney and MoneyGuidePro. There are potential supervisory issues with these two (2) vendors, which we will need those utilizing these 2 programs to assist us in documenting held away asset values and usage of reports better. More to come on this tomorrow as per FINRA's request, I am finishing up with training/procedures for you on this topic and an attestation (groan, I know) for you to complete and return next week.

Thanks, Renee

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