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Should the branch office inspection checklist include whether the activities of branch are covered by, or included in, the firm's BCP?
This question was previously answered by the presenters during ACA’s webcast entitled Broker Dealer Branch Office Examinations. For further information regarding this issue, please feel free to sign on to the archived version of this webcast at http://webcasts.acacompliancegroup.com or call an ACA Consultant at (561) 988-3310.
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