Audits to confirm your WSP are working (FINRA 3120 and RIA 206(4)-7 ). Custom assistance with modeling your WSP for your business.
We perform BSA/AML (Bank Secrecy Act, Anti-Money Laundering) certification, in compliance with FINRA 3310.
If you need to outsource your branch audits, or wish to have a surprise audit on one of your regional or local offices, we can help.
ADV RIA Brochures
Regulatory Issues, Mediation, Arbitration or Court.
Having worked for regulatory agencies as consulting securities expert, plus having interfaced with them as the Firms Liaison my experience lends to insight into various situations. Since 1987 over 500 cases or potential cases have been reviewed, with over 100 involving Expert Witness testimony.