Turnkey Compliance

FINRA and the SEC require that policies and procedures are implemented within your company to help you accomplish your ongoing compliance with all applicable rules, which include FINRA, SEC, SIPC, MSRB and state rules relevant to your securities business. We offer comprehensive service packages structured on a low monthly rate, per project, or hourly rate.

Our firm can expertly support the foundation, modification and documentation of internal policies and procedures—the keystone of effective compliance.  Through close contact with your supervisory staff, we can steer the development, customization and amendment of the following policies, procedures and manuals:

  • Written Supervisory Procedures
  • Anti-Money Laundering Procedures
  • Continuing Education Program
  • Business Continuity Plan
  • Review of employee outside accounts
  • Monitoring of electronic communication

Supervisory Controls

Broker-Dealers are expected to establish procedures whereby they test and verify their compliance with all applicable rules.  RegTec can orchestrate your compliance with Rule 3012 regarding supervisory control systems as follows:

  • Inventory all products or businesses
  • Investigate your firm’s specific internal control requirements
  • Identify gaps between industry rules and your existing supervisory procedures
  • Review the compliance procedures and timetables expected of supervisors
  • Suggest updating your procedures or adopting a new supervisory process
  • Establishing cyber security procedures as required by the SEC , FINRA as well as the public exchanges

RegTec handles the regulatory environment so you can concentrate on revenue and growing your business!

  • 15c3-5
  • Email/IM review
  • Outside Brokerage Account review
  • AML independent Audits
  • WSPs
  • Form Custody
  • Large Trader ID
  • Joint Back Office
  • Net Capital
  • Aggregation Units
  • TPH procedures
  • Wells responses
  • Offers of Settlement
  • BCC Personal Appearances
  • MM Groups
  • B-1 exempt firms
  • Exchange Members
  • CBOE Rule 4.24
  • CCO Certifications
  • FINRA New Member Applications