Broker-Dealer Compliance Services

With such a complex regulatory landscape, broker-dealer compliance programs need to run like a well-oiled machine.  Compliance management is far from straightforward for BDs.  From tracking a huge number of deals for conflicts, anti-money laundering, anti-fraud, to ensuring compliance with customer protection regulations, BDs cannot afford to cut corners on compliance processes. 

In recent years, several high-profile BDs have been fined huge sums for non-compliance.  Recent enforcement actions by the SEC and FINRA have demonstrated that even small and medium-sized BDs increasingly face enforcement action for non-compliance, to the tune of millions of dollars.

We have broker-dealer compliance specialists with extensive experience counseling on the legal, regulatory and compliance implications of BD activities.  Our capabilities encompass the broad spectrum of SEC, FINRA, and state regulatory and compliance matters.

Broker Dealer Compliance Service

Our BD compliance services include:

  • Affiliated investment advisor conflicts of interest assessments
  • Overall compliance strategies and execution
  • Written Supervisory policies and procedures
  • Annual WSP CEO certification reports
  • Annual anti-money laundering assessments
  • Market access (SEC Rule 15c3-5) assessment
  • SEC, FINRA, and state inquiry and investigation responses
  • Advertising and sales literature reviews
  • Customer transactions and employee personal trading reviews
  • Annual or periodic branch and desk mock examinations
  • Email reviews
  • Annual compliance meetings and firm element training
  • Ongoing registration services (Form U-4, Form U-5, Form BD)

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  • Experts in the RIA Space – My RIA Lawyer is the only law firm solely focused on the RIA space.
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  • Experienced – My RIA Lawyer has a proven record of protecting advisors against disputes with their clients, their former bosses and their partners, empowering them to exercise their rights and get compensated for damages.
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  • Proactive Approach – Arbitration is costly and can take over a year to resolve, so we are proactive in finding solutions that cut costs and the amount of time you have to deal with a dispute.
  • Our Vision – My RIA Lawyer wants to see advisors growing their businesses without threat of arbitration and disputes from partners, former bosses, and clients.
  • Highly Reviewed & Rated – Excellent rating by respected legal website Avvo, awarded by Super Lawyers, 5- Star average review rating on Google. See some of our client reviews below.

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