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