SERVICES

  • New BD/RIA Firm - New Member Application (FINRA, SEC, & State)
  • Due Diligence and/or Enhanced Due Diligence
  • KYC Review & Look-Backs
  • BCP: creation, updates, reviews, and testing
  • WSP: creation, updates, reviews, and testing
  • Annual AML Audit (External)
  • AML: Procedures, training, review assistance
  • CRD/Registration Maintenance
  • Form Creation, Review & Customization
  • Employee Handbook
  • Trainings, Firm Element, New Hire, etc.
  • Books & Records Controls
  • Needs Analysis
  • Privacy Policy Statements
  • ADV Updates

EXPERTISE AND HANDS ON ASSISTANCE WHERE YOU NEED IT MOST
RISC CONSULTANTS UNDERSTAND THAT THE CONSTANTLY EVOLVING AND CHALLENGING REGULATORY EXPECTATIONS FOR BOTH FINRA REGISTERED BROKER DEALERS (BDS) AS WELL AS SEC AND STATE REGISTERED INVESTMENT ADVISORS (RIAS) CAN SEEM OVERWHELMING. WE BRING DECADES OF EXPERIENCE AND SOLUTIONS TO PROVIDE THE HANDS ON ASSISTANCE THAT YOU NEED. WE PROVIDE HIGHLY QUALIFIED AND EXPERIENCED ASSISTANCE AND SUPPORT TO YOUR CHIEF COMPLIANCE OFFICER AS WELL AS FIRM, IN ANY AND ALL COMPLIANCE ISSUES AS NEEDED. OUR LIST OF SERVICES ARE EXTENSIVE, AS WE OFFER EVERYTHING FROM FIRM REGISTRATION AND SET-UP, TO OVERSIGHT AND REVIEWS, AS WELL AS ASSISTANCE WITH THE DAY-TO-DAY.

REGULATORY COMPLIANCE

WE VIEW COMPLIANCE AS AN OPPORTUNITY TO HELP MAKE YOUR BUSINESS MORE EFFICIENT, ACCOUNTABLE, AND PROFITABLE.

  • FinCEN: Bi-weekly Review, Comparison, and Reporting
  • Email Review (via Global Relay or Smarsh)
  • SubClearing/TriParty assistance: procedures, documentation
  • Redocumentation projects
  • Suitability Review
  • SEC 17a-3 letter prep and mail/email
  • Disclosure booklet review and preparation. Mailout assistance
  • Annual 3012/3130 Report
  • Compliance Advisories
  • Mini-audits of WSP sections or internal procedures
  • Preparation for Audits Assistance
  • Audit findings assistance
  • Assistance in responding to regulatory inquiries & deficiency comments
  • General assistance when an experienced professional is needed