Creating and maintaining a first-class compliance program can be a complex, difficult task given the ever-changing regulatory environment. ACA has assisted numerous leading financial services firms achieve this goal by reviewing their programs, identifying potential risks for compliance violations, and providing information and training on applicable FINRA and SEC regulations.
In today’s financial world, the size and nature of broker-dealers can vary widely. ACA is adept at defining the unique characteristics of each firm and designing and/or updating compliance policies and procedures to account for those features. Our services for broker-dealers can range from providing expert consulting on the implications of individual rule changes to guiding firms confidently, both initially and in an ongoing capacity, through all aspects of registration and compliance.
This newsletter provides articles on “hot-button” issues, current news of the financial services world, and useful compilations of conferences, roundtables, and webcasts; regulatory notices, updates, and rule changes; and important filing dates.
To request more information on ACA’s broker-dealer services or a personalized proposal for assistance with compliance needs, please follow this link or call Dee Stafford at 310.322.8840.
Click here to request a copy of the Broker-Dealer Quick Reference Guide