We're in the OSJ business, so you don't have to be. Our local compliance and OSJ relief help you focus on servicing your clients. BAR Financial and our broker/dealer uphold an industry reputation for strict adherence to compliance. We have deep roots in the regulatory industry and understand the impact legal and regulatory issues have on your business. Strong regulatory backgrounds, combined with the high professional credentials of our management team, give us a strategic edge in working with you. Whether you are looking for guidance on communicating with the public or searching for the latest in regulatory updates, we are ready to help you. We will support and guide you through compliance, legal and regulatory issues.
BAR Financial's local compliance team ensures that compliance and operations policies and procedures are in place and current. On a daily basis, our local staff monitors our investment representatives' activities, reviews paperwork, checks suitability, reviews marketing and advertising materials and resolves deficiencies. Our careful examination of your books and records with regular field audits helps you stay in compliance.
OSJ (Office of Supervisory Jurisdiction) Relief
One of the most important benefits BAR Financial delivers is becoming your local OSJ. We concentrate on the compliance management of your practice so you can spend more time with your clients and grow your business.
BAR Financial clients benefit from Financial Network's in-house group of experienced analysts whose only function is to perform due diligence review. Financial Network's Due Diligence Committee meets to review current trends in the marketplace. They also utilize the expertise of independent Research and Due Diligence teams to further enhance their ongoing efforts.