Broker Dealer Compliance Services
Broker Dealer Compliance services are our specialty. From compiling confidential internal compliance risk audits to creating in-house compliance control processes, CXG is able to support and enable your mission critical compliance functions:
Outsourced Broker Dealer Compliance Services:
- Full CCO Outsource (if needed)
- 3120/3130 Supervisory Controls Assessment
- AML audit – independent testing
- AML procedures
- Annual compliance meetings
- Books & records
- Business Continuity Plan
- Regulation Best Interest (Reg. BI) & Form CRS
- CE Plan
- CFTC/NFA filings
- Compliance procedures – customizable to firm
- Customer compliant review and filing
- Cycle exam assistance
- FINCEN – system establishment & review
- FINRA inquiry assistance
- Firm Gateway management
- Regulatory filings
- Registered rep attestation requirement & review
- Registered rep onboarding – requirements
- Risk assessment
- System development – compliance
- Unlimited access to consulting staff
- Written supervisory procedures
Request a Compliance Consultation
Our Broker Dealer compliance services are particularly well-suited if you are a small to mid-size firm. Whether you have a full time CCO and need support staff, or if you are in need of a seasoned CCO – completely customizable, CXG can develop a Broker Dealer compliance services solution to fit both your needs and budget.
Book an appointment with one of our highly trained professionals to discuss your specific registration and compliance requirements.
Or call us at 631-595-5305.
Disclaimer: The information provided on this website is for general informational purposes only. It is not intended to constitute legal advice or to substitute for the advice of a qualified legal professional. We make no representations or warranties of any kind, express or implied, about the completeness, accuracy, reliability, suitability, or availability with respect to the website or the information, products, services, or related graphics contained on the website for any purpose. It is advisable to seek the advice of a qualified legal professional regarding your specific legal situation or questions.
Principal Outsourcing Available:
Financial and Operations Principal