Compliance Consulting Services
REGULATORY EXAMINATION SERVICES
- Examinations Coordination
- Response Letter Preparation
- RR Interview Preparation
- Corrective Action Implementation
Once your Regulatory Examination date is set we will help you coordinate and gather documents for review and work with you to ensure complete compliance. Our regulatory experience enables us to anticipate items the examiners would request, and thus we can review and refine any potential issues. We can visit your office and help you with the process, or simply be available via telephone for any questions you have during the preparation or actual on-site visit.
GENERAL COMPLIANCE SERVICES
- Written Supervisory Procedures
- Branch Audit
- AML Audit
- Mock/Regulatory Audits
- Regulatory Rule Interpretations
- Answering General Compliance Issues
Since our consultants are former NASD and NYSE examiners, our audit program mirrors the current regulatory audits, preparing you for an actual regulatory examination.
MAINTENANCE OF FINRA RULE 3120 & FINRA Rule 3130
- Conduct an inventory of all the firm's businesses and of the securities laws and FINRA/NYSE/NASD rules relevant to the firm's businesses
- Analyze the current requirements of the applicable laws and FINRA/NYSE/NASD Rules
- Compare the current policies, practices and procedures and determine if any gaps or deficiencies in those procedures are evident
- Assist the firm's in amending current procedures and/or writing new procedures that resolve the identified gaps
- Develop and implement a verification and testing plan for the firm's procedures
- Develop a reporting model to meet the requirements of 3120 and 3130
- Design a model that may be used to support the CEO certification and reporting requirements in future years
This service can be customized to fulfill the client's needs. For example, firms may want Regulatory Intelligence Compliance Solutions to conduct the gap analysis along with the verification and testing plan while the firm performs the actual testing in-house.
Our fee structure makes Regulatory Intelligence Compliance Solutions an economic alternative to audit and law firms providing a similar service. We offer flexible pricing arrangements, prompt turnaround and dedicated services. Please call if we can help manage your world of compliance.