State Examination Support for Brokers

Have you been notified of a State Examination and your blood pressure went up? Take a deep breath and contact MSource. Having assisted with audits from many of the states, we have the experience to help you navigate the process

Let us help get you through this stressful time by assisting with the following:

  • Reviewing the engagement letter and assessing required documentation
  • Assisting with the completion of required exam questionnaires (if applicable)
  • Reviewing the accumulated documents to identify red flags or potential issues prior to submission
  • Working closely with your team and the examiner to ensure all requirements have been satisfied and timelines met
  • Reviewing current policies and procedures requested by the examiner and assessment of the company’s adherence to those policies
  • Reviewing the final audit report with you and assist with any required responses/ action items
  • Follow-up to ensure all audit responses are being adhered to

***Note that MSource Training and Consulting, Inc. is not a law firm, nor are any of the associates attorneys. Consultations provided are based on experience and do not represent a legal opinion. Clients are encouraged to consult the attorneys, accountants, etc. in conjunction with services provided.***

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MSource Training & Consulting, Inc.
22181 Huron River Drive #62, Rockwood, MI 48173
Phone: (248) 620-3434 | Toll Free: (888) 441-9588 | Fax: (888) 826-2208