GRC Solutions to Power Compliance for Broker-Dealers

We provide tailored compliance support that addresses FINRA, SEC, and other regulatory requirements, including:

• Supervisory procedures and internal controls
• Regulatory exam preparation and remediation
• Written Supervisory Procedures (WSPs) development and reviews
• Advertising and communications review

We can help by:

• Conducting gap analyses and mock exams
• Offering ongoing compliance support
• Monitoring regulatory developments
• Providing outsourced compliance support and strategic advisory

Our ComplianceAlpha^® platform simplifies compliance oversight and documentation through:

• Trade surveillance and monitoring
• Code of ethics automation
• Marketing and communications review workflows
• Risk assessments and employee disclosures

Yes. We provide hands-on support before, during, and after exams, including:

• Assistance with exam readiness
• Help responding to regulatory inquiries and deficiency letters
• Guidance on post-exam remediation and best practices

Our cybersecurity team supports firms with:

• Anti-money laundering (AML) program development and testing
• Transaction monitoring system reviews
• Independent AML audits and risk assessments
• Training and policy guidance

Yes. We offer specialized support to help broker-dealers safeguard sensitive data, meet regulatory expectations, and prepare for cyber threats. Services include:

• Cyber risk assessments and regulatory gap analyses
• Vulnerability scans and penetration testing
• Cybersecurity program development and policy reviews
• Business continuity planning and incident response readiness
• Ongoing monitoring to detect and respond to emerging threats