Keeping You One Step Ahead
Registered broker-dealers have a duty to build effective programs that are reasonably designed to ensure compliance with applicable laws and regulations. Compliance Administration, LLC determines the unique characteristics of each client and designs, implements, and/or updates compliance policies and procedures customized to focus on each firm’s current goals and needs.
OUR SERVICES
OFFERING A WIDE ARRAY OF STANDARD SERVICES
Annual Compliance Certification for Personnel
Business Continuity Plan-Annual Review and Update
Continuing Education Training Plan Review and Update
FINRA and Exchange Broker-Dealer Applications and Rule 1017 Filings
Annual Renewal of Broker-Dealer and Registered Rep Registrations
Firm Element Training and Tracking
Regulatory Element Notification and Tracking
Employee Personal Trading Record Keeping
Monitoring and Updating of FINRA Gateway and WebCRD
Quarterly Compliance Meeting Presentation Template
GREAT OFFERING OF SPECIALIZED SERVICES
FINRA and Exchange Examinations
Supervisory Procedures Manual Preparation, Review and Update
Web CRD Services U-4, U-5, and Form BD Filings, etc.
Website, Advertising and Sales Literature Review
Anit-Money Laundering Independent Audit Procedures
CONTACT US
Compliance Administration, LLC
P.O. Box 530
Barnegat Light, NJ 08006
908-310-8075