Services For Existing Brokerage Firms
Executive Compliance International has extensive experience helping existing businesses with services including the creation of marketing materials, drafting and editing written supervisory procedures for advertising and marketing and for current business processes.
Our firm provides services relating to written procedures for:
- Annual broker attestations
- Annual compliance reporting to the CEO
- AML policies and procedures
- Business continuity program and planning
- Code of ethics and business conduct
- Conducting securities and commodity futures businesses
- Cybersecurity and Information security plans
- Human resource policies
- Incident response plans
- Market access, order routing, and best execution reviews
- Regulatory correspondence reviews and recommendations
- Required annual firm element continuing education
- Required additional training for associated persons, and
- Guidance regarding everyday supervision and supervisory controls.
Additional Services:
- Advertising, marketing, and communications review
- Advising about broker-dealer and FCM practices and processes
- Advising about outsourcing agreements
- Assisting with responses to regulatory examinations and inquiries
- Annual compliance reports to the CEO
- Change in business filings with regulators
- Continuing education for registered individuals
- CRD filings for Form BD and broker/trader registrations
- Drafting and/or reviewing written supervisory procedures in a format that meets local regulatory requirements and making sure WSPs cover everything important
- Editing and suggesting responses to inquiries from customers
- Market access financial and regulatory risk management reviews
- Responding to inquiries from regulators
- Responding to due diligence questionnaires from regulators, exchanges, and business counterparties
- Responding to customer complaints
- SEC and state registration annual and periodic updates
- Supervisory system review
Services For New Firms
Executive Compliance International helps create new businesses including
by drafting and filing:
- Initial broker-dealer applications (Forms BD) with the SEC,
- New Member Applications and Change in Ownership, Control, or Business Operations
with the Financial Industry Regulatory Authority (FINRA),
- New introducing broker applications with the National Futures Association (NFA) to
conduct futures and option business,
- Providing follow-up assistance with industry registrations, Form BD updates and solutions
for day-to-day compliance issues.
Executive Compliance International assists in drafting and/or reviewing written supervisory procedures for introducing broker and clearing broker businesses.
Executive Compliance International arranges for annual training of all associated persons
and completion of annual compliance requirements.
