RegMaven recognizes that financial services firms today – specifically broker-dealers and registered investment advisors – are occasionally in conflict with their compliance departments regarding what can and cannot be done while operating a revenue generating enterprise. This does not only pose challenges for the business but also for compliance. Our expertise is in delivering a comprehensive compliance infrastructure that works in tandem with your business model.
Our services are designed for you – the business owner(s),and executives period. Our consultants strive to safeguard your personal and professional reputation by being insightful, tactful and conscientious. Our goal is to provide you and your team with the confidence that your company is positioned to execute your daily compliance responsibilities, recognize and adopt new and amended regulations, all while maintaining a proficient and cost effective compliance division.
For this reason, RegMaven has built its services with your business in mind; ‘Where Compliance Meets Business’. It is imperative that these two core functional areas understand and appreciate one another; operating proficiently together, the business will achieve the vision of its principal(s).
RegMaven facilitates this unification by providing you with a suite of services tailored to your needs:
1) SEC & State RIA Registrations;
2) FINRA New Membership Application – NMA;
3) FINRA Continuing Membership Application (CMA – 1017);
4) MSRB Registration and Compliance Services;
5) State Registrations (BD & RIA);
6) Compliance Consulting, Books & Records Exams, FINRA & SEC Mock Exams;
7) SEC & FINRA Procedural Testing;
a. FINRA Independent AML Audit
b. FINRA 3012 Supervisory Control Procedures
c. SEC 206(4)-7 Procedures Test
8) Compliance Outsourcing and Support Services;
9) Enterprise Valuation Business Assessment and Consulting;
10) Financial Services Permanent / Contract / Advisor Recruitment
11) Compliance Assessment – Broker Dealer and Registered Investment Advisor
You will come to appreciate our consultants working closely together with your team to build a unified culture where each business unit is working towards a common goal: growing in value being both profitable AND compliant.
Contact us. We are interested in discussing how well your enterprise is functioning, your understanding of the regulatory marketplace, your business framework and thoughts on best practices to improve the overall performance of your team and business. click here to schedule a 30 minute dialogue. We believe you will come away with some insightful ideas. We look forward to speaking with you soon.
Branch Office Regulatory Exam Program – High Risk Branch Identification
Watch for it – FINRA is visiting your Branch Office ~ unannounced. Today, a routine FINRA exam includes branch office visits pre, post or during your Home Office on-site. After the lead examiner assembles the information about your firm, he/she reviews the firm’s BORAM. The FINRA Examination Team will then determine which offices pose a high risk. Click here to read more.