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Compliance

Written Supervisory Procedures

We work with our clients to establish written supervisory procedures designed to meet the needs of your firm, regardless of your size, in order to address regulatory changes, identify risks, and manage changes in business operations.

 

Anti-Money Laundering

We review and evaluate your money laundering risk, helping you amend or create new procedures based on the results of our assessment. Our team works with you to develop an effective program or to independently test an existing one as required under FINRA Rule 3310.

 

Compliance Materials

We additionally offer compliance manuals/documentation around anti-money laundering programs, development of continuing education training plans, written supervisory procedures, identity theft protection, business continuity, cyber and more.  We will also work with you to develop CLE and other programs for training of a broader audience of compliance professionals.