Broker Dealer Compliance Services
CRC is staffed with a team of Executive Level Compliance Officers that specialize in establishing, maintaining and executing Institutional / Capital Markets, Retail and Ultra High-Net Worth Broker-Dealer (”BD”) Compliance Programs.
Our support services Include:
- FINRA New Membership Applications (“NMA”) and Continuing Membership Applications (“CMA”)
- Affiliated Investment Advisor Conflicts of Interest Assessments
- Overall Compliance Strategies and Execution
- Outsourced CCO
- Written Supervisory Policies and Procedures
- Annual WSP CEO Certification Reports
- Fraud and AML Investigations
- Annual Anti-Money Laundering Assessments
- Market Access (SEC Rule 15c3-5) Assessments
- SEC, FINRA, and State Inquiry and Investigation Responses
- Advertising and Sales Literature Reviews
- Customer Transactions and Employee Personal Trading Reviews
- Annual or Periodic Branch and Desk Mock Examinations
- E-mail Reviews, including implementation of surveillance platforms
- Financial and Operations Principal (FinOp) Services
- Annual Compliance Meetings and Firm Element Training
- Ongoing Registration Services (Form U-4, Form U-5, Form BD)
- CRC specializes in the creation of tailored enterprise compliance risk management programs that fully reconcile to an organization’s governance standards and desire to establish a “culture of compliance”
- CRC’s experts have the ability to offer the following end-to-end compliance support services:
- Business Ethics
- Compliance Operational Risk Assessments
- Social Media Business and Compliance Optimization
- Compliance Technology Road-Mapping
- Training and Development
- Regulatory Guidance for Capital Markets and Investment Banking Services include:
- Full spectrum of securities product offerings including:
- Equities
- Fixed Income
- Equity, Convertible and Fixed Income Origination, Underwriting and Syndicate
- OTC Derivatives and Listed Options
- Securitized Products
- Research
- Full spectrum of securities product offerings including:
What We Do
At Compliance Risk Concepts, we provide clients with the critical skills and expertise required to establish, maintain and enhance a balanced and effective compliance operational risk management program. Contact us for more information on how we can provide financial consulting services for your organization.
