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2003
Year End Compliance Checklist
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Year
end is almost here, so don't wait until the last minute to
make sure your firm dotted all its "i"s and crossed
all its "t"s! MGL can help you make sure that your
year end compliance issues are all wrapped up!
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| Item |
Deadline |
Completed |
| Annual
Compliance Meeting |
12/31/03 |
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| Annual
Internal Inspection of Records |
12/31/03 |
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| Annual
AML Testing - 2003 |
12/31/03 |
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|
Annual Privacy Notices to Customers |
12/31/03 |
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| WebCRD
Renewal Payments |
12/05/03 |
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| WebCRD
Deadline for new Form U-4s, U-5s, Partial BDWs and BD Amendments |
12/20/03 |
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| State
of Illinois - Branch Office Listing |
12/05/03 |
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| 2003
Continuing Education Training |
12/31/03 |
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| 2004
Needs Analysis and Training Plan |
12/31/03 |
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| Schedule
Annual Audit with Firm Accountants for 2003 (Firms with 12/31
year end) |
12/31/03 |
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| Notice
to NASD/SEC to Change Designated Accountants (Firms with
12/31 year end) |
12/15/03 |
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| Annual
Audit - Extension Requests (Firms with 12/31 year end) |
01/15/04 |
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| Annual
Audit - NASD/SEC/State Filings (Firms with 12/31 year end) |
03/01/04 |
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| Annual
Review of Business Activities, Form BD and Update of Written
Supervisory Procedures |
12/31/03 |
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| Annual
Review of Form ADV and annual offer of Form ADV to advisory
customers (Investment Advisor Firms only) |
12/31/03 |
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| Update
Expense Agreement |
12/01/03 |
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