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2004 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 |
12/31/04 |
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| Annual
Internal Inspection of Records |
12/31/04 |
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| Annual
AML Testing - 2004 |
12/31/04 |
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|
Annual Privacy Notices to Customers |
12/31/04 |
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| WebCRD
Renewal Payments |
12/02/04 |
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| WebCRD
Deadline for new Form U-4s, U-5s, Partial BDWs and BD Amendments |
12/18/04 |
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| State
of Illinois - Branch Office Listing |
12/05/04 |
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| 2004
Continuing Education Training |
12/31/04 |
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| 2005
Needs Analysis and Training Plan |
12/31/04 |
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| Schedule
Annual Audit with Firm Accountants for 2004 (Firms with 12/31
year end) |
12/31/04 |
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| Notice
to NASD/SEC to Change Designated Accountants (Firms with
12/31 year end) |
12/15/04 |
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| Annual
Audit - Extension Requests (Firms with 12/31 year end) |
02/23/05 |
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| Annual
Audit - NASD/SEC/State Filings (Firms with 12/31 year end) |
03/01/05 |
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| Annual
Review of Business Activities, Form BD and Update of Written
Supervisory Procedures |
12/31/04 |
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| Annual
Business Continuity Notice to Customers |
12/01/04 |
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| Annual
Margin Disclosure |
12/31/04 |
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| Annual
Order Routing Disclosure Notice to Customers |
12/31/04 |
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| Payment
for Order Flow Disclosure |
12/31/04 |
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| Certification
from Firm's Principal(s) to Senior Management detailing system
of supervisory controls |
12/17/04 |
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