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REGULATORY EXAM SERVICES
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Be Prepared and Confident with Examinations and Required Regulatory Testing

Gain peace of mind about achieving regulatory compliance with our comprehensive examinations for broker dealers and investment advisers.

Anti-Money Laundering Independent Testing

Our detailed Anti-Money Laundering (AML) testing will satisfy the FINRA Rule 3310 requirement for broker dealers. Our extensive review includes confirming the integrity and accuracy of your AML program and its implementation. A comprehensive report that includes a statement of independence, the experience of the testing team, areas tested, testing methodology, findings and recommendation for remediation is provided.

Rule 3012/3130 Testing and Reporting

With our detailed, risk-based approach, we will assist your broker-dealer in satisfying the requirements under Rule 3012 to test and verify your broker dealer's written supervisory procedures. We will provide a report that the CCO can provide to the CEO/senior management to demonstrate the firm had an adequate supervisory control system. This review covers procedures and processes chosen by the firm or identified as key areas through our risk analysis. A comprehensive report that includes areas test, tested methodology, gaps and recommendation for remediation is provided.

206(4)-7 Testing

Test and verify our Independent Adviser's supervisory procedures to fulfill Rule 206(4)-7 with our detailed, risk based approach. This review covers procedures and processes chosen by the firm or identified as key areas through our risk analysis. A comprehensive report that includes areas tested, testing methodology, gaps and recommendation for remediation is provided.

Annual Review of the Broker-Dealer's Main Office

Rule 3010 requires broker-dealers to inspect each of its OSJ offices annually, including its main office, and to also conduct a review of the firm's business and related records. Regulatory Compliance has a team of experts ready to help you meet these requirements and to provide a report to satisfy the regulatory requirements.

Mock Regulatory Examination

Whether your firm is a BD, an IA or both, a comprehensive examination of your firm's policies and procedures, compliance systems, processes and records can take the worry out of that upcoming regulatory examination. Regulatory Compliance can tailor the examination to your specific needs to cover some or all of the areas a FINRA, the SEC or a state regulator might cover.

Branch and Non-Branch Office Examinations

Meet FINRA Rule 3010 for review of offsite office locations with our offsite office examination program. This examination encompasses a review of the firm's compliance with required office procedures - including supervision and recordkeeping - through a random review of books and records. More comprehensive examinations that mimic a FINRA onsite review of branches is also available.

 

To learn more about any of our compliance services, contact us or call (603) 434-3594.