FINRA COMPLIANCE

3012/13 Assessments

• Assistance in internal audit program design.
• Temporary staff to participate in testing.
• Independent evaluation of the internal 3012/13 assessment to provide senior management with an extra level of confidence before attestation.

FINRA Exam Preparation    Not sure what to expect from a FINRA examination? We have a group of consultants who experienced FINRA exams as compliance officers and who are in touch with changing trends and demands by FINRA. They can provide high-level advice or work with you to make sure your records and people are ready.

Stipulated or Mandatory Consulting   Our people have real-world business experience and well as experience dealing with regulators. We can help you achieve compliance with FINRA demands in a manner that is reasonable for your business.

Written Supervisory Procedures   Preparing WSPs in a format acceptable to FINRA and useful to your supervisory and compliance staff can be challenging. We are experienced in preparing WSPs which in many cases have been reviewed during FINRA exams. We can add best practices insights and do the job quickly.

Policy and Business Conduct Manuals   Our consultants have prepared compliance, sales practices, ethics, and policy manuals for leading corporations in the financial services sector and for well-known general industry firms. We can assess your business and risks and recommend tailored policies relevant to your business, or prepare your manuals for you quickly and at low cost.

Operations Procedures   Most CQP consultants have been in some area of operations for securities or insurance firms, in management roles where they had to make sure clerical staff understood what to do and how to do it. They can use this experience to help your firm develop and implement clear and comprehensive operations procedures which reflect necessary compliance requirements and controls.