FINRA Compliance & AML Services
Much of the industry pivots around compliance-related issues these days. In fact, FINRA compliance considerations permeate, and at times seem to overshadow, virtually every business decision that broker-dealer management faces. Arguably every legitimate FINRA registered broker-dealer has an appreciation of the importance of establishing and maintaining a strong compliance program.
As an expert witness in the securities industry, a certified (ACAMS) anti-money laundering specialist and a FINRA arbitrator, we are particularly committed to ensure our clients can count on Bedford and Main for proper support when needed.
IN 2019, BEDFORD AND MAIN BECAME LISTED IN THE
FINRA COMPLIANCE VENDOR DIRECTORY
Over the past few years, we have continuously expanded our support in this area. Our specialty lies in helping firms with issues related to:
- FINRA exam findings and how to properly address/respond to an issue.
- Dealing with an AWC to implementing corrections where FINRA requires a consultant to assist.
- Customizing and tailoring broker-dealer Written Supervisory Procedures (WSP)s
- Structuring a systematic supervisory process that reflects a culture of compliance
- Evaluating weaknesses in compliance and operational processes and procedures
Where needed, we have also developed a strong network of partnerships to provide more focused specialized services. This includes offering ongoing senior CCO level compliance functions and FINOP personnel support.
And of course, Bedford and Main can always help supplement your staff by way of providing the annual Anti-Money Laundering independent test.