© 2017 Aliso Advisors

Ongoing Broker / Dealer Compliance Services

Achieving FINRA membership is but the first step in a never ending litany of meeting regulatory and compliance requirements. With Aliso Advisors supporting your Chief Compliance Officer, you won’t get mired in the details and will be able to focus on your core strengths, which is client acquisition.

Key deliverables include:

  • Branch Audits

  • Mock Regulatory Examinations

  • Review and Revision of Form BD

  • Written Supervisory Procedures Design and Implementation

  • Representative and Firm Registration Services, Initial and Renewal

  • Annual Compliance Meetings

  • Privacy Policies

  • Business Continuity Plans

  • Outside Business Documentation Review

  • Advertising Review

  • Personal Trading Review

  • E-Mail Review

  • Social Media Review

  • AML Procedures and Independent Testing

  • Customer Complaint Review and Response

  • New Product and Due Diligence Reviews

  • Regulatory Examination Preparation and Support

  • Regulatory Inquiry Response Preparation

  • Regulatory Filings

OUR SOLUTIONS

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