How To Use Teammate Bd

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1 Broker Dealer Audit System Manage branch office inspections from start to finish Perform more thorough and efficient audits based on up-to-date audit procedures, rules and regulatory notices

2 PRODUCT OVERVIEW TeamMate Broker Dealer (TeamMate BD) is a comprehensive audit management solution for managing and executing all aspects of broker dealer branch office audit inspections. IMPLEMENTING TEAMMATE BD Designed as a true turn-key solution, implementing TeamMate BD couldn t be easier. Hosted in a secure, world-class, SSAE 16 facility Browser accessible No burden on internal IT staff or infrastructure Rapid deployment process allows a new client to be up and running in as little as 1 week System upgrades and content updates are performed automatically Set-up and training services are included at no additional cost * Allows firms to focus on achieving compliance, not managing technology or content Can also be deployed On-Premise TEAMMATE FEATURES TeamMate BD is built on the award winning and audit industry standard TeamMate Audit Management System which is used by over 85,000 auditors worldwide. Best in class features include: Full audit trail with automated cross-referencing Automated violation report generation Cross examination reporting and trend analysis Comprehensive management dashboards Supports concurrent user access both on and off line Simultaneous and Remote Review Mobile functionality iphone, ipad, Blackberry, Android, etc. Scanning of audit evidence in TeamImage TeamMate BD guides you through the complete branch examination process Planning Pre Audit Survey Document Request List Branch Manager and Operations Manager Interviews Questionnaire TeamMate BD tailors the focus of branch exams to the business, and practices conducted, and assesses the risks specific to that branch. Surveys, interview templates and questionnaires are updated on a monthly basis to ensure compliance with new rules and regulations. Firms can easily supplement interviews and checklists with custom questions. UNIQUE BENEFITS OF TEAMMATE BROKER DEALER Completely manages NASD Rule 3010 branch office inspections Contains up-to-date Rules and Regulatory Notices from regulatory bodies including: SEC, FINRA, former NASD and the NYSE Rules and Regulations are cross-referenced to the detailed audit steps required to determine applicable compliance Includes pre-configured and customizable web-based questionnaires with automated summary reporting into the audit file Bundled with Branch Manager and Operations Manager interview templates Provides an easy framework for supplementing regulations and audit steps with your firm s policies and procedures Embedded content doubles as a comprehensive training tool For more information or a product demonstration call or visit Detailed Planning Audit Execution Violation Reporting Violation Tracking Summary / Cross Branch Reporting TeamMate BD contains a comprehensive library of audit steps cross-referenced to FINRA and SEC regulations, which are updated on a monthly basis. Violations noted are automatically included in the draft violations report generated by TeamMate BD. Violation remediation status is automatically tracked. Automated s remind owners of past due actions.

Hosted in a secure, world-class, SSAE 16 facility Browser accessible No burden on internal IT staff or infrastructure Rapid deployment process allows a new client to be up and running in as little as

3 TeamMate BD has built-in workflow Content is updated monthly Survey tool is prepopulated with the Questionnaire The standard web survey tool allows for easy customization of included surveys The Registered Representative Survey is updated monthly The TeamMate BD knowledge base includes Audit Steps, Rules and Regulations, Workpaper Templates and other industry information Survey results are automatically summarized TeamMate BD includes a complete and searchable knowledge base of regulations tied to audit steps Auditors have at their fingertips all of the information they need to audit to the latest compliance regulations During the planning phase audit steps can be imported into the TeamMate BD examination file at the click of a button TeamMate BD automatically generates a draft violation report at the end of the examination Any violations can be documented from scratch or via a head start write-up Violation remediation is tracked and dashboards provide a firm-wide snapshot of compliance status

automatically summarized TeamMate BD includes a complete and searchable knowledge base of regulations tied to audit steps Auditors have at their fingertips all of the information they need to audit

4 TeamMate BD examination checklists with built-in content drive efficiency and compliance with regulations TeamMate BD leverages the industry s leading audit management system interface A complete audit trail is automatically maintained which indicates date and time of audit step completion and review During the planning phase all relevant audit steps are imported into the examination Summary responses and state indicators provide a snapshot of the audit step status Each audit step is linked to the relevant regulations and your firm s own policies Additional notes can be inserted for each audit step All audit steps and regulations are updated on a monthly basis Violations noted are automatically linked to the violation write-up

imported into the examination Summary responses and state indicators provide a snapshot of the audit step status Each audit step is linked to the relevant regulations and your firm s

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Consulting Services. Sama Audit Systems & Softwares Pvt. Ltd.

Consulting Services. Sama Audit Systems & Softwares Pvt. Ltd. Consulting Services Sama Audit Systems & Softwares Pvt. Ltd. Thank you for your interest in TeamMate Services. We offer a variety of services designed to enhance your set up and usage of the TeamMate software