FinServ Compliance offers a series comprehensive set of services with onoing guidance tailored to the specific needs and requirements of your broker-dealer.
Registrations & CMA
- New BD Registration with FINRA
- CMA Applications with FINRA
- State Registrations
FinServ Compliance Solutions
- Anti-Money Laundering Review / Testing
- Supervisory Control Review and Testing
- Branch Audit and Review Program
- Review of WSP
- Tiered Annual Consulting Contract
- Cyber Security Testing
- Customized Email Rules
- Act as Liaison on requests for information
Additional Services
- Cyber Security Testing
- Cyber Security Policies
- Advertising Reviews