BD Services Include:
- FINRA Registration
- Written Supervisory Procedures
- Anti-Money Laundering
- Disaster Recovery Planning
- Annual Compliance Meeting and Continuing Education
- Annual OSJ and Periodic Branch Office Inspection
Assistance - Form BD and U-4 Maintenance
- Regulatory Examination Assistance
- Simulated Examiner Audits
- Operational Advice and Support
- Supervision Protocols for Registered Representatives
- Supervision Protocols for Trading
- Supervision Protocols for Underwriting
- Supervision Protocols for Marketing and Advertising
- Supervision Protocols for Back Office
Services for Broker-Dealers
Whether you are starting a new firm or are a longstanding
broker-dealer looking to out source a portion of your compliance and
operations, Best Practices can provide your firm with comprehensive
services based on vast industry experience. We offer a full range of BD
registration, regulatory examination and internal testing services, as
well as anti-money laundering, continuing education and annual
meeting support.
Whether you are starting a new firm or are a longstanding
broker-dealer looking to out source a portion of your compliance and
operations, Best Practices can provide your firm with comprehensive
services based on vast industry experience. We offer a full range of BD
registration, regulatory examination and internal testing services, as
well as anti-money laundering, continuing education and annual
meeting support.
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PRACTICES
Consulting Group
Consulting Group
| BEST |
