FINRA COMPLIANCE: Branch and OSJ Inspections

CQP is a business partner with LIMRA International and its Audit Services or "SCAN" program of branch and OSJ exams. All compliance audits will be performed in conjunction with our business partner LIMRA Regulatory Services through its Audit Services program. For more information about LIMRA's SCAN Program please click the following link copy the following link into your browser:

http://www.limra.com/Compliance/RiskManagement/SCAN.aspx

CQP and LIMRA's Regulatory Services people have extensive experience in designing and performing a wide range of compliance examinations from one rep detached offices to multi-rep offices and OSJs. We know how to do the job thoroughly as required by your firm's protocol, how to win the trust of your reps or advisors, and how to handle discreetly indications of serious problems.