Annual Review

FINRA 3012 requires all firms to conduct an annual review of the firm compliance program by either firm personnel or a qualified outside entity.  ACI strongly recommends that an independent consultant be utilized to minimize the possibility of conflicts of interest.  As the premier provider of regulatory consulting services on Wall Street, ACI can conduct the firm’s annual review and repair deficiencies discovered at an extraordinarily competitive price.  
 
As part of the review process, ACI’s renowned team of industry compliance professionals conduct the exact review the regulators will do while on site.  Most of ACI’s clients are referrals from satisfied customers.  ACI typically provides ongoing review services on an annual basis.  Each review examines all areas of a firm’s business to determine the integrity of the existing compliance program with the requisite securities regulations.



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