Coast to Coast Compliance can help your firm build, or otherwise maintain, a strong broker-dealer compliance program.
Coast to Coast Compliance can streamline the registration process and assist with various ongoing broker-dealer compliance requirements, which often include the following key service offerings:
- Assistance preparing and filing the Form BD, Forms U-4 and U-5
- Assistance preparing business plan and documentation of supervisory system
- Assistance preparing or reviewing existing written supervisory procedures
- Assistance with required annual testing, annual compliance report, and annual compliance meeting
- Assistance with firm-wide, new-hire, or other customized compliance training
- Assistance developing or reviewing existing Business Continuity Plan
- Assistance developing an Anti-Money Laundering Program
- Assistance conducting independent anti-money laundering testing
- Assistance with FINRA requests, registrations, interviews, exams, etc.
- Assistance with any other regulatory requests, registrations, interviews, exams, etc.
- Ad hoc compliance program assistance
Coast to Coast Compliance can also provide assistance with the compliance requirements associated with Regulation Best Interest, including a firm's disclosure obligations, duty of care obligations, conflicts of interest obligations, and additional compliance obligations.