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Tag: broker dealer internal controls

Broker Dealer Compliance Program and FINRA Compliance Review

Strengthening Your Broker-Dealer Compliance Program with Support from RRS

Broker-dealers operate in one of the most highly regulated areas of the financial services industry. Regulatory oversight from the SEC, FINRA, and other self-regulatory organizations requires firms to maintain strong compliance controls and supervisory systems. As a result, firms must implement a comprehensive broker dealer compliance program that addresses supervisory responsibilities, internal controls, regulatory reporting, and periodic compliance testing.

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