Broker Dealer Regulation and Compliance
- Designing rule implementation protocols.
- Developing clear policies and procedures customized to your business.
- Design control framework for assessing sustainability of controls and procedures.
- Design and development of Compliance.
- Management protocols and tools to meet regulatory expectations.
- Providing expert advice and guidance on industry best practices in addressing existing and new regulatory requirements.
- Development and implementation of Corporate Training Program.
- Managing FINRA and SEC Registration requirements, including change in business and registration oversight programs.
- Communication with the Public Supervisory Program, including marketing materials, social media, electronic communication and physical correspondence
