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MEMBERSHIP
New Membership Applications,
We alleviate the burden by managing the entire New Member Application process for you.
Continuing Membership Applications,
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PROCEDURES
Written Supervisory Procedures and Compliance Manual
* Customize WSP and Compliance Manual
* Coordinate Representative certifications
* Implement policies and procedures
AML
* Conduct Anti-Money Laundering Audit
* Prepare Audit report to senior management
* AML policies and procedures
Business Continuity Plans and Reviews
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Organization of books and records and related files
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REGULATORY
Regulatory Compliance Reviews and Mock Regulatory Audits
Annual Compliance Audits
AML Independent Audits
Regulatory Directed Audits
SRO Audit Preparation
3010 Reviews
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CONTINUING EDUCATION
Continuing Education Firm Element
Annual Needs Analysis
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Identify program and course objectives
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REGISTRATIONS
CRD and Registration Services
Forms BD, ADV Parts I and II
Provide General Securities Principals
Financial and Operations Principals
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OTHER
Disaster Recovery Plans and Reviews
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Special Projects
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Annual Compliance and Supervision Certification
Compliance Management
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Expert Witness
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FINANCIAL
FOCUS Reporting
Regulatory Reporting
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Accounting and Bookkeeping Services
Payroll Services
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Register a senior representative as your Financial and Operations Principal
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See What Our Clients Say
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