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