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Services

Financial

  • Provide outside FINRA Series 27 Financial and Operations Principal.
  • Outsource accounting and reporting functions –
    • Post or supervise posting of the general ledger
    • Compile financial statements
    • FOCUS monthly or quarterly, as required
    • SIPC semi-annual and annual
    • Required notifications under Rule 17a-11
  • Compute net capital on an as necessary basis to ensure “moment to moment” compliance.
  • Analyze positions and underwriting commitments as to how they impact net capital.
  • Draft financial statements and all disclosures required in annual audit report.
  • Liaise with regulators and external auditors with respect to all matters of financial responsibility.
  • Financial modelling and budgeting.

 

Compliance

  • AML independent testing.
  • Trading and market making audits.
  • Provide/update written supervisory procedures.
  • Advertising review.
  • Continuing education services.
  • Create agenda and conduct annual compliance meetings.
  • FINRA membership and continuing membership applications.
  • Branch and Main Office Inspections.
  • Regulation BI reviews.
  • FINRA/Regulatory examinations guidance and assistance.
  • Rule 3120-3130 annual testing.
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