Our on-going broker dealer compliance offering include access to our consulting team for regulatory and compliance questions related to the Broker/Dealer. These services can be customized to your needs and typically include:
- Filing of FORM BD amendments and Annual updates
- Updating of the compliance policies and procedures Manual
- Informing you of relevant changes in FINRA and SEC regulations as they affect the business and of general industry trends and issues that we believe may be relevant
- Provision of any forms, compliance calendars and monitoring tools required to maintain an effective compliance infrastructure
- Assisting you with any correspondence with the FINRA, SEC or other relevant regulatory bodies.
- Providing ad-hoc regulatory advice as and when required.