Broker Dealer Compliance
ACI provides customized broker dealer compliance solutions designed specifically to meet the needs of broker dealer firms. Unlike other consulting firms, ACI's broker dealer compliance services are implemented by securities attorneys who are experienced in both the regulatory compliance role and as broker dealer compliance officers. With direct access to SEC officials, ACI maintains an insider perspective on changing rules and regulations to achieve compliance best practices.
Our broker dealer compliance services are complimented by ACI's accounting experience in providing financial statements that meet the scrutiny of regulators and auditors. ACI has provided precision accounting services for broker dealer firms for more than 25 years and understands how to run a successfully managed outsourcing program that is both cost-effective and a-tuned to the specific regulations placed upon broker dealer firms. To achieve compliance with SEC regulations on financial reporting, ACI provides FINOP and FOCUS Reporting services through our accounting department.
Through our compliance department, ACI's broker dealer compliance programs are managed by our top rated securities attorneys and broker dealer compliance officers. To meet compliance regulations, your firm can outsource specific portions or your complete compliance program to our experts.
• Written Supervisory Procedures
• Mock SEC Audit
• Anti-Money Laundering Procedures
• Anti-Money Laundering Audits
• Advertising & Marketing Review
• Due Diligence
• Annual Compliance Meetings
• Annual Compliance Review
• Best Execution
• Branch Office Audits
• Internal Compliance Programs and Special Investigations
• Liaise with SEC + other regulators
• Email Archiving
• Continuing Education Programs
Contact Us: To receive a complimentary compliance consultation email info@acisecure.com or fill out our contact form.
Our broker dealer compliance services are complimented by ACI's accounting experience in providing financial statements that meet the scrutiny of regulators and auditors. ACI has provided precision accounting services for broker dealer firms for more than 25 years and understands how to run a successfully managed outsourcing program that is both cost-effective and a-tuned to the specific regulations placed upon broker dealer firms. To achieve compliance with SEC regulations on financial reporting, ACI provides FINOP and FOCUS Reporting services through our accounting department.
Through our compliance department, ACI's broker dealer compliance programs are managed by our top rated securities attorneys and broker dealer compliance officers. To meet compliance regulations, your firm can outsource specific portions or your complete compliance program to our experts.
Broker Dealer Compliance Services include but are not limited to:
• Registrations• Written Supervisory Procedures
• Mock SEC Audit
• Anti-Money Laundering Procedures
• Anti-Money Laundering Audits
• Advertising & Marketing Review
• Due Diligence
• Annual Compliance Meetings
• Annual Compliance Review
• Best Execution
• Branch Office Audits
• Internal Compliance Programs and Special Investigations
• Liaise with SEC + other regulators
• Email Archiving
• Continuing Education Programs
Contact Us: To receive a complimentary compliance consultation email info@acisecure.com or fill out our contact form.
