Our comprehensive C3 Solution service combines core regulatory compliance assistance with ongoing support to help firms ensure their compliance programs are up to date and effective.
Broker-dealers receive comprehensive assistance in two important areas: Core Regulatory Compliance Support and Ongoing Regulatory Compliance Support.
Core Regulatory Compliance Support
Our Core Support services focus on helping firms meet their annual compliance requirements and include:
- Conducting the on-site annual reviews and testing required by FINRA rules
- Assisting chief compliance officers in preparing the required Annual Certification
- Preparing annual continuing education needs analyses and training plans
- Drafting annual compliance meeting materials and agendas for client review and approval
Under the Core Support services, we also provide on-site or off-site support to broker-dealers during FINRA examinations. This assistance includes:
- Liaising with FINRA examiners
- Assisting with FINRA document requests
- Contributing to written responses to FINRA deficiency letters
C3 Solution® broker-dealer clients also remain current on regulatory issues through our BD Newsletter, timely email compliance alerts, and live and archived compliance webcasts.
Ongoing Regulatory Compliance Support
The Ongoing Support services portion of our C3 Solution® has four key components:
- “On-call” assistance with compliance and operational questions or in response to informal FINRA inquiries
- Assistance with keeping written supervisory procedures current and accurate
- Assistance with compliance calendar
- Telephone and email consulting
ACA also offers premium services to further assist clients with their compliance programs:
- Support for form filings on the Central Registration Depository (CRD) system
- Email surveillance
- Brokerage statement review
- Marketing review