Presenting The Broker-Dealer Certification Tool The Compliance Department Inc. Broker Dealer Compliance Consultants Compliance SCORE Powered by Keane BRMS SCORE

Compliance SCORE A partnership between The Keane Organization and The Compliance Department Inc.

The Keane Organization, Inc. The Keane Organization provides compliance and risk management solutions that help companies mitigate regulatory, operational and financial threats across the enterprise. Keane’s solutions allow business leaders to measure, manage and monitor those threats in a way that produces measurable return on investment. Whether it involves regulators, investors, customers, employees or vendors, Keane’s proprietary business methodology allows clients to systematically identify risk, create specific action plans, and establish personal accountability for results.

The Compliance Department Inc. The Compliance Department Inc provides compliance and risk management services to broker-dealers and investment advisors to assist in compliance with federal and state securities laws.

Compliance SCORE was developed to power the annual supervisory review required of broker-dealers by FINRA rules. The tool allows broker-dealers of all sizes and types to conduct an ongoing and dynamic review, test, and certification of the firms supervisory procedures

Compliance SCORE empowers the firm to:   Consistently conduct enterprise-wide risk assessments and self audits;   Automatically create detailed action plans to address compliance requirements;   Measure performance and ensure accountability for results;   Maintain a clearly documented audit trail of internal compliance efforts and due diligence.

The Compliance SCORE difference SCORE: S trategic C ommand o f R isk E lements SCORE integrates three fundamental principles of risk management: Measurement Management Monitoring

Risk Principle: Measurement SCORE enables thorough, repeatable risk assessments to benchmark your situation and calculate the scope and cost of your compliance requirements.

Risk Principle: Management SCORE empowers you to actively review compliance levels, establish action plans, and control mitigation efforts. By avoiding compliance pitfalls, and identifying opportunities you minimize risk and increase return on investment.

Risk Principle: Monitoring SCORE empowers the user to continually audit, analyze, and track the process on a regular basis to quantify the results.

SCORE ®

MEASURE Evaluate your organization Identify your exposure Access your vulnerabilities

SCORE ® MEASURE Evaluate your organization Identify your exposure Access your vulnerabilities MANAGE Set priorities Mitigate exposure Promote collaboration and accountability

SCORE ® MEASURE Evaluate your organization Identify your exposure Access your vulnerabilities MANAGE Set priorities Mitigate exposure Promote collaboration and accountability MONITOR Benchmark results Audit actions Report results

 SCORE provides an intelligent interface and allows real-time service delivery  SCORE automates the relationships between risk, vulnerability, compliance and risk mitigation needs and timeline management  SCORE’s flexibility facilitates a collaborative environment  SCORE has historical profiling capabilities which allow users to identify and manage long-term compliance and risk management goals  Score is simple to access and use, and displays a continuous “quick reference” summary of your compliance and risk at all times

Measure, Manage, and Monitor Executives define the risk and compliance issues they must manage across the organization. A simple dashboard view provides real-time risk levels, action plans and accountabilities Tactical solutions address risks and ROI opportunities that exist in specific functional areas Functional Areas Management CCO COO CEO Divisional, departmental and process managers can effectively track risks within their area of responsibility with a roll-up to the executive dashboard

The next steps: 1. Contact The Compliance Department Inc. to receive your usage agreement and log-ins; 2. Appoint a primary contact for Compliance SCORE. 3. Provide a copy of your existing Supervisory Control Procedures. 4. Make personnel available for training and orientation 5. Start utilizing the Compliance SCORE tool

88 Inverness Circle East, Suite F-104 Centennial, Colorado The Compliance Department Inc. Broker Dealer Compliance Consultants