Broker/Dealer Consulting

Examples of our broker/dealer consulting services include the following:

  • Written Supervisory Procedures Review, Updates and Amendments
  • Financial Books and Records Review and Analysis
  • Business Continuity Plans
  • Anti-Money Laundering Plans
  • Independent Anti-Money Laundering Testing
  • Annual Compliance Meetings
  • Continuing Education Plans
  • General Broker/Dealer Books and Records Review and Analysis
  • CRD System Review
  • Supervisory System Review & Analysis
  • Compliance System Review & Analysis
  • Control System Review & Analysis
  • Accounting System Review & Analysis
  • Risk Management Programs