Broker-Dealer Compliance

Compliance Solutions Group provides compliance products and services that are customized to meet the specific needs of a broker-dealer. 

CSG has the expertise and experience to design compliance solutions that not only enhance your business, but promote efficiency while allowing your firm to focus on its business activities and bottom line.

CSG can handle as little or as much as you need. Services offered by CSG include (but are not limited to):

  • Written Supervisory Procedures Manual.
    (Draft, implement and maintain/update manual.)
  • Conduct Continuing Education Needs Analysis and Draft Training Plan.
  • AML Compliance Program. (Draft, implement and maintain/update Program.)
  • Business Continuity Plan. (Draft Plan or Review and Test Plan.)
  • AML Audit/Independent Testing.
  • Conduct Supervisory Controls Gap Analysis and Assessments.
  • Advertising and Website Reviews.
  • Annual Compliance Meeting.
  • Branch Examinations / Internal Inspection.
  • Customer Complaint Review and Form Filing.
  • Form BD and BR Filings.
  • Form U4 and U5 Filings.
  • Mock Regulatory Examinations – Gap Analysis.
  • Registration Renewals.
  • State Regulatory Filings.
  • Regulatory Examination or Inquiry Assistance/Support.
  • Sales Practice Reviews.
  • Books and Records Reviews.

Whether it is a specific project or the outsourcing of the Chief Compliance Officer or FINOP Responsibilities, CSG is here to help.