Broker Dealer Compliance
ACI provides customized broker dealer compliance solutions that are designed specifically to meet the needs of broker dealer firms. ACI's broker dealer compliance services are implemented by seasoned compliance professionals and complemented by our FINOP outsourcing and financial reporting capabilities. ACI's Broker Dealer Compliance Services include but are not limited to:
Registration
ACI provides consulting support to determine the best course of action when looking to start or close a broker dealer firm. We can work with your firm to execute on a New Membership Application, 1017 Change in Ownership Application or Withdrawal Application. ACI also assists with filing U4 and U5 forms for Registered Representatives.
Broker Dealer Registration
Compliance Documents & Infrastructure
ACI works with clients to tailor the firm's written supervisory procedures, code of ethics, privacy policy, business continuity plans, and AML procedures to create a supervisory structure that accounts for each unique business model. ACI can develop this infrastructure with your firm as well as provide maintenance if and when the infrastructure has been established.
• Written Supervisory Procedures
• Anti-Money Laundering Procedures
• Email Archiving
• Continuing Education Programs
Audits and Reviews
ACI's compliance professionals guide your firm through the appropriate compliance review program to identify and improve weaknesses and deficiencies. At the end of a review, ACI provides the client with a verbal summary of findings as well as a written report with recommendations.
• AML Audits / AML Senior Management Sign-off
• 3012 Supervisory Controls Review / 3130 CEO Certification
• Advertising & Marketing Review
• Due Diligence
• Annual Compliance Meetings
• Best Execution
• Branch Office Audits (OSJ Exams)
• Mock SEC Audit
Consulting Support
ACI can provide monthly compliance and consulting to keep your firm informed of the latest regulations and answer any compliance questions or concerns that may arise at your firm. This could include quarterly onsite visits, telephone support, assistance with SEC filings and pre/post FINRA Exam support.
• Internal Compliance Programs and Special Investigations
• Liaise with SEC + other regulators
Contact Us: To receive a complimentary compliance consultation email info@acisecure.com or fill out our contact form.
Registration
ACI provides consulting support to determine the best course of action when looking to start or close a broker dealer firm. We can work with your firm to execute on a New Membership Application, 1017 Change in Ownership Application or Withdrawal Application. ACI also assists with filing U4 and U5 forms for Registered Representatives.
Broker Dealer Registration
Compliance Documents & Infrastructure
ACI works with clients to tailor the firm's written supervisory procedures, code of ethics, privacy policy, business continuity plans, and AML procedures to create a supervisory structure that accounts for each unique business model. ACI can develop this infrastructure with your firm as well as provide maintenance if and when the infrastructure has been established.
• Written Supervisory Procedures
• Anti-Money Laundering Procedures
• Email Archiving
• Continuing Education Programs
Audits and Reviews
ACI's compliance professionals guide your firm through the appropriate compliance review program to identify and improve weaknesses and deficiencies. At the end of a review, ACI provides the client with a verbal summary of findings as well as a written report with recommendations.
• AML Audits / AML Senior Management Sign-off
• 3012 Supervisory Controls Review / 3130 CEO Certification
• Advertising & Marketing Review
• Due Diligence
• Annual Compliance Meetings
• Best Execution
• Branch Office Audits (OSJ Exams)
• Mock SEC Audit
Consulting Support
ACI can provide monthly compliance and consulting to keep your firm informed of the latest regulations and answer any compliance questions or concerns that may arise at your firm. This could include quarterly onsite visits, telephone support, assistance with SEC filings and pre/post FINRA Exam support.
• Internal Compliance Programs and Special Investigations
• Liaise with SEC + other regulators
Contact Us: To receive a complimentary compliance consultation email info@acisecure.com or fill out our contact form.
