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FINRA 2011 Annual Regulatory and Examination Priorities

FINRA 2011 Annual Regulatory and Examination Priorities On February 8th, FINRA released their 2011 Annual Regulatory and Examination Priorities letter detailing regulatory developments over

SEC Releases Study on Broker Dealers and Investment Advisors: Uniform Fiduciary Standard

On Friday, January 21st, 2011, the SEC released a Study on Broker Dealers and Investment Advisors as required by Section 913 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The study

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Accounting & Compliance International

Accounting & Compliance International (ACI) believes that a firm’s regulatory program should complement the firm's business model, mitigate risks, and promote investor protection.

ACI is a regulatory consulting firm that works with broker dealers, investment advisors and/or hedge fund managers to develop customized compliance and accounting outsourcing programs. These compliance and accounting programs are intended to allow our clients to maintain a strong compliance and accounting infrastructure in order to increase transparency, mitigate risk, satisfy regulators and auditors, and build investor trust.

ACCOUNTING

ACI can maintain the financial books and records for our clients based on accounts receivable and accounts payble. In addition to providing a full time bookkeeper and secondary backup, ACI provides FINOP Outsourcing to assist with regulatory reporting requirements.

COMPLIANCE

ACI specializes in developing customized compliance outsourcing programs tailored with SEC and FINRA regulations in mind. Programs are developed based on each firm's existing needs and attempt to minimize operational risks. ACI works with start-up firms to develop the New Membership Application or Investment Advisor Registration and can provide ongoing compliance services.

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