In brief
Our FINRA Compliance Assessment helps broker-dealers comply with Financial Industry Regulatory Authority (FINRA) rules. It includes a risk assessment, a review of policies, procedures and controls, a documentation review against record-keeping requirements, staff training and remediation recommendations.
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:
Risk Assessment A comprehensive risk assessment to identify, evaluate, and prioritize the risks that threaten the confidentiality, integrity, and availability of the firm’s information.
Compliance Review A thorough review of the firm’s policies, procedures, and controls to ensure compliance with FINRA rules and regulations.
Documentation Review 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.
Recommendations 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.
Frequently Asked Questions
Who is the FINRA Compliance Assessment for?
Broker-dealers that must comply with the rules and regulations of the Financial Industry Regulatory Authority (FINRA).
What does the assessment include?
A risk assessment of threats to the confidentiality, integrity and availability of the firm's information, a compliance review of policies, procedures and controls, a documentation review against FINRA record-keeping requirements, training and awareness for employees, and recommendations to close gaps.
Can the assessment be tailored to our firm?
Yes. It is flexible and scalable, and we develop a customized FINRA compliance plan aligned with your firm's objectives, industry requirements and regulatory obligations.