Services.
Ask about our full menu of services, to see what for works for your business.
Check out our highlighted AML and Annual Compliance services, packaged for the New Year.
AML Audit
Our independent AML audit tests the firm's AML program, to see whether a firm has an appropriate AML program and is doing what they say they are doing. We deliver: Point-by-point review of audit findings, Recommendations for AML program improvement, and In-person findings presentation for management, upon request.
Annual Compliance Meeting
now virtual!
The FINRA annual compliance meeting is required by FINRA Rule 3110(a)(7). The supplementary material in Rule 3110.04 provides that the annual compliance meeting may be conducted in person or by other means, like video conference, telephone, or other electronic means, with a method of ensuring that the attendee was present for the entire meeting, and signs an attestation.
Annual Attestation
Let us create your Broker-Dealer Annual Attestation for efficient distribution, tracking and management of the annual process. We help ensure that registered representatives attest to, and fully understand, specific areas of your firm’s written supervisory procedures and FIRM Specific Disclosures and Attestations.