The Financial Industry Regulatory Authority (FINRA) requires broker-dealers to “maintain a system to supervise the activities of their associated persons and to achieve compliance with securities laws and regulations and FINRA’s rules.”
Our broker-dealer division can help implement sound compliance and supervisory programs that address appropriate FINRA and Securities and Exchange Commission (SEC) regulations. Our consultants have years of regulatory experience, professional designations, and Certified Anti-Money Laundering Specialists (CAMS) Certifications.
We understand that the size and nature of a broker-dealer can vary widely, from market maker, to Funding Portal (FP-BD), to upcoming Capital Acquisition Broker (CAB). As a result, we take a firm’s unique characteristics into account when designing, updating, and/or implementing compliance policies and procedures.
Our tiered solutions let you choose the level of assistance your firm needs.
Our comprehensive C3 Solution service combines core regulatory compliance assistance with ongoing support to help firms ensure their compliance programs are up to date and effective.
We designed our Compliance Cornerstone solution for broker-dealers with a less comprehensive need for compliance assistance.
Broker-dealers that simply need to stay current on compliance issues or that have occasional compliance questions choose our Compliance Assistant program.
Our Broker-Dealer Quick Reference Guide is designed to help firms understand compliance standards.
To help you stay on track with your firm’s FINRA reporting obligations, we’ve put together a printable calendar with key deadlines in addition to U.S. national holidays at a glance.
The SEC and FINRA staff held a joint roundtable on October 26, 2020 to discuss their initial observations of broker-dealer compliance with Reg BI and Form CRS requirements since the June 30, 2020 deadline.
ACA Broker-Dealer Services invites you to download the latest edition of our newsletter. Our latest newsletter contains a year-end compliance checklist to help broker-dealers confirm they have completed their compliance obligations for 2020.
Join ACA and K&L Gates for a detailed explanation of the specific performance requirements, how they differ from prior no-action letters, and what steps a firm should take now in order to be ready by the deadline.
Join us Thursday, March 11 at 11:00 am EST for a live webcast on FINRA Priorities and Hot Topics to learn more about how the recently released priorities may impact you and your compliance program.
The FINRA release of Regulatory Notice 20-21 on July 1, 2020 includes clarified guidance for calculating and presenting IRR for use in retail communications by FINRA member firms. Join ACA for a complimentary webcast discussing the main areas of impact to broker-dealers and FINRA member placements agents.
There is just one week to go until Regulatory Horizon 2021 | Navigating Evolving Risks, our free-to-attend European based conference for financial services firms is running from 2-4 March. We outline five reasons why this event is worth adding to your calendar.
Former global prime broker and industry consultant joins multi-award-winning regulatory hosting division
ACA Aponix selected as the winner of the Cybersecurity Technology Award by The DrawDown Private Equity Service Provider Awards.