Our Services

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The USA PATRIOT Act and FINRA require that broker-dealers conduct an annual independent testing of their Anti-Money Laundering Compliance Program to ensure that all regulatory requirements are being met. 

CSG consultants hold the prestigious CAMS*  designation which is recognized worldwide and denotes proven knowledge in the detection and prevention of money laundering. In addition, CSG consultants have practical and hands-on industry experience which results in an independent testing program that is specifically designed to identify and address weaknesses in an AML Compliance Program. 

CSG Independent Testing will result in a written report to the firm’s senior management that will provide details and results.  Areas that would be reviewed and/or tested include (but are not limited to):

• The review and testing of the firm’s AML Written Supervisory Procedures and Polices.
• The review of client files to ensure that due diligence and know-your-customer requirements are being fulfilled.
• The review of the broker-dealer’s check and/or security logs.
• The review and testing of OFAC and 314(a) procedures.
• The review of required forms and regulatory filings and notifications.
• The review of the broker-dealer’s plan for and completion of required training. 

Regulatory efforts to fight money laundering and terrorism continue to demand a strong AML Compliance Program. A broker-dealer’s continued success depends on the strength of its AML Compliance Program. 

Let CSG help you find and fix any weaknesses before the regulators do!

*The Association of Certified Anti-Money Laundering Specialists® (ACAMS®) is the premier organization for anti-money laundering (AML) professionals and the provider of the Certified Anti-Money Laundering Specialist® (CAMS) credential – the most respected certification in the industry. The CAMS designation is recognized worldwide by both the private employers and government sectors and acknowledged by regulators, examiners, and law enforcement.  The CAMS credential denotes proven knowledge in the detection and prevention of money laundering and positions certified AML professionals as leaders in the industry.  (Source:  www.acams.org)

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.

Compliance Solutions Group can assist you with all of your Broker-Dealer registration needs. Whether you are stating a new Broker-Dealer or changing an existing broker-dealer, CSG has the expertise and experience needed to keep the this extremely complex process organized and efficient.

CSG can handle as little or as much of this process as you need.  Such services provided by CSG in relation to the registration of a broker-dealer include (but are not limited to):

• Complete all registration forms.
• Coordinate New Member Application (NMA) or Change of Member Application (CMA) with FINRA (District and Washington Offices).
• Complete and Submit Applicable filings with FINRA and States.
• File FIN # application.
• File Lost & Stolen Securities Program application.
• Research Clearing Firm and assist in relationship implementation.
• Prepare Un-Audited Financial Statements.
• File Financial Statements with applicable jurisdictions.
• Prepare Net Capital Computation.
• Prepare Written Supervisory Procedures Manual.
• Prepare Anti-Money Laundering Program.
• Conduct and Prepare Continuing Education Needs Analysis and Training Plan.
• Recruiting, Office Set-Up and Business Expansion. 

CSG can handle bookkeeping/accounting, regulatory reporting and FINOP responsibilities, allowing a firm to focus on its revenue generating activities.

CSG consultants not only hold the required FINRA qualifications, but have have the hands-on experience needed to maintain a firm’s books.  In addition, CSG works with licensed CPAs to ensure that all work is GAAP compliant as well.

Financial Services performed by CSG include (but are not limited to):

• Manage general ledger functions (bookkeeping functions and adjusting entries).
• Completion of Financial Statements.
• Preparation of Net Capital Computation and Filing of FOCUS Report.
• Participation in FINRA/SEC examinations and annual financial audits.
• SIPC annual reporting.
• Virtual FINOP (Financial and Operations Principal).
• Recruitment assistance for firms searching for qualified Financial and Operations Principal.
• Advise clients on changes in Financial Responsibility Rules and how changes or transactions with impact the firm’s net capital.

CGS consultants may act as a Firm’s FINOP or just as a service provider under the Firm’s FINOP.

Compliance Solutions Group can assist you with all of your compliance needs.  CSG has the expertise and experience needed to keep this extremely complex process organized and efficient for you.

CSG can handle as little or as much of this process as you need.  Such services provided by CSG include (but not limited to):

• SEC registration (including the completion and submission of Form MA and MA-I.
• Customized written supervisory procedures and policies.
• Chief Compliance Officer / Compliance Officer.
• Compliance training and education.
• SEC / FINRA Examination support (on-site and/or off-site)
• On-going reviews and updating of compliance policies, procedures and documents.

Compliance Solutions Group provides compliance products and services that are customized to meet the specific needs of an Investment Adviser. Whether the Investment Adviser needs to be registered or is already registered with the SEC or with a State, CSG has the expertise and experience to design compliance solutions that are designed to 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).
• Notice Filings.
• Review and/or Completion of Form ADV Part 1.
• Review and/or Completion of Form ADV Part 2 in “Plain English”.
• Web IARD/CRD Services.
• Mock Compliance Examination – Gap Analysis.
• Form ADV Annual Review and Updating (Amendment Filings).
• SEC or State Registration Application.