Finding the time to read and analyze all the information your firm receives from regulatory agencies can be challenging. Proper implementation, however, is crucial to the firm's success. Brokerage Consulting Group can serve as your firm's compliance partner, helping to determine how, or if, rules and regulations affect your firm. We interpret regulatory releases and apply the information to your firm, allowing you more time to concentrate on other areas of the business.
Our consultants will explain what action should be taken to comply with new rules and regulations as they are released. In addition, we will notify you of proposed amendments to current rules and help you prepare for upcoming changes. And we are available to answer questions and help solve compliance-related problems as they arise. In short, we become your compliance sounding board.
For answers to these and other compliance questions, contact Brokerage Consulting Group at (404) 371-4250.
Outsourced Compliance Activities
Brokerage Consulting Group offers a wide range of other compliance services to help firms meet regulatory requirements. These include, but are not limited to:
Monitoring of Electronic Correspondence
Social Networking Review
FINRA Form Filings
Review of Outside Business Activities
Collection and Review of Outside Brokerage Accounts
Continuing Education Written Training Plan and Needs Analysis
Business Continuity Plans
Preparation for Regulatory Examinations
Independent Review of Processes for Compliance
Written Supervisory Procedures
According to FINRA Rule 3110, every broker/dealer is required to establish and maintain a system to supervise the activities of the firm and its Associated Persons, including developing and maintaining a set of supervisory procedures that will reasonably ensure compliance with FINRA and SEC rules and regulations.
A compliant Written Supervisory Procedures Manual is the backbone to developing and implementing a strong compliance system throughout your organization. It is your primary tool for communicating the policies and procedures of the firm to Associated Persons. It is our goal to create a Written Supervisory Procedures Manual for your firm that meets and exceeds FINRA's requirements.
Do you need to develop a new Written Supervisory Procedures Manual?
Do your Written Supervisory Procedures meet FINRA requirements?
Do you need someone to review, update and enhance your existing Written Supervisory Procedures?
Do you need someone to advise you when new rules and regulations are passed that require amendments to your procedures?
If you answered yes to any of these questions, contact Brokerage Consulting Group to discuss your specific requirements. Our consultants are experienced in preparing Written Supervisory Procedures for a new broker/dealer or maintaining and amending procedures for an existing firm.
Annual Compliance Meeting
Brokerage Consulting Group's services include annual compliance meeting preparation and delivery assistance. Our professionals will help your firm:
Prepare an agenda
Prepare meeting materials
Conduct the meeting
Document attendance and participation
We can actively participate in the meeting, answeri questions, and take part in discussions; or we can review the meeting materials for accuracy and leave the delivery to you. Our experienced consultants will help you deliver information in a manner that everyone understands, and develop useful supporting reference material.
To discuss your upcoming compliance meeting with a Brokerage Consulting Group professional, contact us today.