Broker Dealer Review covers small firm compliance issues representing FINRA Rule 1000 (Registration), 2000 (Duties), and 3000 (Supervision). Our compliance portal helps broker-dealers to conduct office reviews, supervision, and ongoing monitoring of investment activities.
Premium Hybrid Version combines RIA Review (premium plus) + a Broker-Dealer Review system. Our compliance portal helps broker-dealers to conduct office review, supervision, and ongoing monitoring of investment activities. Large Firms Brokers – we can refer you to an industry partner to service your rep network, firm element continuing education, automated supervision, and/or multiple branch office audit needs.
For hybrid registered investment advisors & small/mid-sized broker dealers with minimal branch office audit needs
|Broker Dealer Compliance||RIA + Broker Dealer Compliance|
|Compliance Calendar/Planner||Compliance Calendar/Planner|
|Compliance Guidelines||Compliance Guidelines|
|Operations Workflow||Operations Workflow|
|Task Delegation Center||Task Delegation Center|
|AML/KYC Review||AML/KYC Review|
Stay abreast with regulatory changes, new requirements and updates which are critical for ensuring that the firm’s compliance obligations are met.
Create alerts for filings, client delivery, and document updates. Store data in our highly secure cloud storage to facilitate your firm’s audit preparation, aided by our library of checklists, forms, templates, agreements, and attestation documentation.
Reduce your risk, avoid fines and save firm costs with our online compliance review center; designed to help guide firm’s through the process of reviewing the effectiveness of their compliance programs.
Registered Rep/Operation level (responsible for sales, suitability, reporting, adhering to policies):
Supervisors (responsible for policy development, branch office supervision, rep activities, monitoring operations)