Annual Compliance Meetings for Broker Dealers

FINRA 3010 states that all supervisory procedures and compliance programs must be reviewed on an annual basis.   Additionally, FINRA 3130 requires an annual certification of a firm’s compliance process. When examining the supervisory procedures, the CEO must conduct the review along with the chief compliance officer(s) designated by the BD appointment form.  Resulting from this meeting, firms are expected to submit a review of their compliance processes every 12 months.

 

ACI has certified principals are able to conduct our clients’ annual compliance meetings and submit all required forms for renewed certification. In assisting with our clients’ annual compliance meetings, ACI manages the complete review and certification process, including, but not limited to:

  • Certifying whether the current compliance policies have been reviewed and meet securities law standards
  • Revising policies and procedures to better meet regulatory standards
  • Developing systems to routinely test policy and procedural effectiveness




To inquire into ACI's Annual Compliance Meeting services, contact us at info@acisecure.com.

 

 

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