Internal Compliance Programs and Special Investigations

FINRA 3010 requires that all firms conduct regular internal reviews that assess each area of the firm’s business in order to prevent violation of securities law and applicable NASD/FINRA rules. The internal reviews are to be specifically designed to detect possible regulatory violations.   3010 also requires that each incident be fully investigated and reported within a set period of time.
 
The ACI team has conducted hundreds of confidential internal investigations for financial firms to assess damage after representative malfeasance.  ACI has gone onsite at the location of the incident to determine firm liability numbers and supervisory failure damage control.  Our confidential reviews typically are conducted in conjunction with outside counsel to retain attorney-client privilege.  ACI will help counsel assess risk factors and detect possible violations of securities regulations.  Our investigations are usually conducted prior to all regulatory examinations to ensure that the programs in existence meet the stringent guidelines set forth by the regulatory bodies.  Our internal investigation services include, but are not limited to:

• Identifying key business areas requiring internal investigation.

• Conducting internal investigations in all key business areas and sharing recommendations for compliance improvements after red flag identification.

• Recommending an appropriate fix for deficiencies uncovered by internal investigations.

• Assisting with review and due diligence of customer accounts.

To inquire into ACI's Internal Compliance Programs and Special Investigation services, contact us at info@acisecure.com.