| |
| "
"... it is important that firm compliance programs evolve as well, to reflect the current business and organizational structure at a firm. And, those programs must keep pace with regulatory developments, market changes and industry standards. " |
Quote by
Mary L. Schapiro,
Chariman -
US Securities and Exchange Commission,
1/26/2010 |
|
|
COMPLIANCE SERVICES
|
Compliance is an ever-changing landscape. What stays the same is Compliance Support Services' commitment to you and your regulatory compliance program. CSS services include, but are not limited to:
- Prepare and update your Compliance Calendar so you don't miss any regulatory filing dates.
- Interpret new regulations applicable to your business into practical processes and procedures.
- Evaluate your existing compliance system in relation to current regulatory requirements relevant to your business, to make sure your procedures and processes are in line with regulatory expectations.
- Review your Written Supervisory Procedures to ensure they are up to date and relevant to your business model.
- Develop Representative Compliance and Supervisory Manuals as needed.
- Assist in completing the test and certification reports required by Rules 3012 and 3130.
- Evaluate your Continuing Education Program and provide a needs analysis and training plan along with suggested courses and training opportunities.
- Conduct the annual Home Office OSJ audit and annual review of your business pursuant to Rule 3010.
- Prepare the Firm for regulatory exams.
- Prepare the application required by Rule 1017 to lift a restriction, add a new business line or other change to your currently approved business activities.
- Conduct branch audits on a limited basis.
For NEW broker dealers:
Remember all the compliance information you received during your pre-membership interview? Not sure how you develop your system of supervision, prepare for your first FINRA examination, or what steps to take now that you are a member? Compliance Support Services can help. Complete the CONTACT sheet for more information today.
|
|