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 appreciates the importance of establishing and maintaining a robust 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 ensuring our clients can count on Bedford and Main for proper support when needed.
Over the years, we have continuously expanded our support in this area. Our specialty lies in helping firms with issues related to:
- Performing the annual Anti-Money Laundering independent test
- Implementing corrections required from an Acceptance, Waiver, and Consent (AWC) when FINRA requires a consultant to assist the firm.
- Structuring a systematic supervisory process that reflects a culture of compliance
- Evaluating weaknesses in compliance and operational processes and procedures
- Customizing and tailoring broker-dealer Written Supervisory Procedures (WSP)s
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.