Pre-Audit Checklist

Pre-Audit Checklist

28.01.2020
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Pre-Audit Checklist
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Here is a list of items we suggest for a review of your business to be sure you are up to date prior to your audit.

Locate your Business Continuity Plan (BCP) on ClientWorks. You need to be able to demonstrate …

Checklist for New Office Setup

18.03.2014
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Checklist for New Office Setup / Integration to PAG
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Week 1

All advisory licensed individuals have completed the U4, printed, signed and returned to Sean Sullivan.
PAG Confidentiality Agreements were completed by all access people and returned to PAG.
OBA/DBA’s are all submitted to LPL …