Broker-Dealer

Creating and maintaining a first-class compliance program can be a complex, difficult task in today’s ever-changing regulatory environment. ACA has assisted numerous leading financial services firms by reviewing their programs, identifying potential risks for compliance violations, and providing information and training on applicable FINRA and SEC regulations.

HOW WE HELP

Comprehensive Reviews

Compliance Solutions

  • Mock FINRA exams
  • Anti-money laundering independent testing and reviews
  • Supervisory control testing and reviews
  • Order Audit Trail System (OATS) reviews
  • Trading and market maker surveillance reviews (TMMS)
  • Mutual fund distributor reviews
  • Branch audit program review
  • DOL consulting
  • Customized written supervisory procedures

Registrations

  • Initial and changes in FINRA membership
  • State registrations

Broker-Dealer Quick Reference Guide

Additional Offerings

  • Regulatory-mandated consulting
  • Advertising and sales literature reviews
  • Education and training
  • Cybersecurity reviews
  • Email surveillance
  • Trade surveillance

OUR PROCESS

 

ACA understands that the size and nature of a broker-dealer can vary widely, from market maker, to Funding Portal (FP-BD), to upcoming Capital Acquisition Broker (CAB). As a result, we take a firm’s unique characteristics into account when designing, updating, and/or implementing compliance policies and procedures. Our broad range of services for broker-dealers extend from guiding firms through all aspects of the initial registration to providing consultations on the implications of individual rule changes.

PACKAGED COMPLIANCE SOLUTIONS FOR BROKER-DEALERS

Comprehensive C3 Solution®

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.

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Compliance Cornerstone™

We designed our Compliance Cornerstone solution for broker-dealers with a less comprehensive need for compliance assistance.

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Compliance Assistant™

Broker-dealers that simply need to stay current on compliance issues or that have occasional compliance questions choose our Compliance Assistant program.

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Broker-Dealer Quick Reference Guide

ACA has put together a Broker-Dealer Quick Reference Guide to assist firms with understanding compliance standards. Click below to request a copy of the guide.

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REQUEST MORE INFORMATION

 

For more information on ACA’s broker-dealer services or to receive a proposal for assistance with your specific compliance needs, please complete our contact form or call Dee Stafford at (310) 322-8840.