The Prosperity Network OSJ had our annual audit in May 2026. The audit lasted two weeks and included a team of 4 auditors. The OSJ responded to 694 requests for information from the audit team. We are pleased there were only 4 audit findings for the OSJ. We continue to have exceptional audit results annually for OSJ offices of our size and volume. We appreciate all that our members do to remain compliant throughout the year. Your responsiveness and dedication to compliance contributed greatly to our continued excellent annual OSJ audit results.
2026 OSJ Audit Findings:
- 3 supervised reps had late BIC Investment Recommendation reports.
- 1 supervised reps had a late BIC Switch Report.
- Two sets of trade flag resolution notes entered by the OSJ Delegate should have been more detailed and should have addressed every flag as there were multiple flags for each trade.
- A report included with Outgoing Correspondence had a slight difference from the approved report template. The report contained hypothetical portfolio performance, and the Qualified Client form was not uploaded to Pinpoint prior to the audit. These issues should have been noted by the OSJ Delegate who reviewed the correspondence.
Please contact the Prosperity Network Compliance Team with any questions: compliance@prosperityadvisors.com or 913-529-5500 Option 2.
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