Broker Dealer Compliance Services

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

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

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.

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What We Do