Effective this week, the Financial Industry Regulatory Authority will be going live with their new Compliance Vendor Directory (CVD), a comprehensive list of service providers in nine distinct categories, as follows:
1. Compliance Consulting
3. Data Management
4. Email & Social Media Archive
5. Exam Prep & Firm CE
6. Insurance Brokers
8. PCAOB Accountants
Recent feedback from the broker dealer community has prompted FINRA to create a service provider directory for member firms. The objective is to centralize a database of expert consultants that broker dealers can refer to when engaging for regulatory services at their respective firms.
Accounting and Compliance International (ACI) is pleased to announce that we have been accepted as an initial member of the CVD, qualifying for both Compliance Consulting and Registration. We will be one of approximately 20 firms nationwide who have been afforded this honor.
The CVD will be demonstrated for the first time at FINRA’s annual conference in Washington D.C. on May 16 to May 18, 2017.
For further information please contact Jay Gettenberg at (212) 668-8700, extension 25, or by email at firstname.lastname@example.org