Our FINRA Compliance Assessment is a comprehensive solution designed to help broker-dealers comply with the Financial Industry Regulatory Authority (FINRA) rules and regulations. The program provides a proactive and systematic approach to assess, plan, implement, and monitor FINRA compliance strategies, ensuring compliance with federal regulations.
Our FINRA Compliance Assessment includes the following offerings:
A comprehensive risk assessment to identify, evaluate, and prioritize the risks that threaten the confidentiality, integrity, and availability of the firm’s information.
A thorough review of the firm’s policies, procedures, and controls to ensure compliance with FINRA rules and regulations.
An assessment of the firm’s documentation to ensure that it meets FINRA’s record-keeping requirements.
Training & Awareness
We provide training and awareness programs to ensure that the firm’s employees are aware of their responsibilities and obligations under FINRA rules and regulations.
We provide recommendations to help the firm mitigate identified risks and compliance gaps and to implement best practices for FINRA compliance.
Our FINRA Compliance Assessment is designed to be flexible and scalable to meet the unique needs of each firm. We work with you to develop a customized FINRA compliance plan that aligns with your firm’s objectives, industry requirements, and regulatory compliance obligations.
With our FINRA Compliance Assessment, you can be confident that your firm is meeting its regulatory compliance requirements and protecting sensitive information from unauthorized access or disclosure.