Finra Compliance is an outsourcing solution for BD’s, RIA’s, Funds, and Fintech platforms.
Our practice provides customized plans in new member registration, regulatory compliance, accounting and reporting needs, and administration. We specialize in regulatory compliance for Broker-Dealers, Registered Investment Advisers RIAs, M&A firms, Municipal Broker-dealers, Private Equity, Emerging Technology Platforms, and other types of financial service businesses.
Leadership is under Dave Banerjee, CPA who has expertise in regulatory compliance, reporting and audit issues, custody exams, SEC and FINRA examinations, PCAOB audits, and more. Dave also has an Engineering degree for firms pursuing Fintech offerings. He assists with licensing and new member applications as well as regulatory compliance programs where blockchain, cryptocurrency, initial coin offerings, wallets, tokens, and related technology are part of the business.
Finra Compliance knowledgeable professionals develop tailored procedure and policy to meet regulatory requirements which fit your unique business model.
• Membership Application and Registration
• ICO Due Diligence & Filing with Regulators
• Anti-Money Laundering and Anti-Crypto-Laundering
• Client Suitability and Disclosures
• Books and Records Compliance
• Principal Registration - Designated CCO & FinOp
• Accounting and Administrative Service
• Compliance Remediation Program
We assist various types of Broker-Dealer business models including those with exemption from public offering like; Reg D, A, A+, CF, S, as well as state registration. Our credentials include -
• FINRA Series Registrations: 7, 24, 27, 55, 63, 79
• Member/auditor - PCAOB and AICPA
• Member NSCP – National Society for Compliance Professionals
• Member BIG – Blockchain Industry Group
• Panel speaker and Roundtable discussion leader – Compliance, Fintech, and Audit
Company Details
- Employees
- 4
- Founded
- -
- Address
- 21860 Burbank Blvd, Suite 150, Woodland Hills,california 91367,united States
- Phone
- +1-818-657-0288
- tm****@****nce.com
- Industry
- Financial Services
- NAICS
-
Finance and InsuranceMonetary Authorities-Central Bank
- Website
- rndcompliance.com
- Keywords
- FINOP Services, Audit & Tax Reports, SEC & FINRA Consultant, Cyber-Security Plan, FINRA examiners, Start up Consulting, Fintech Compliance, PCAOB Audit, FINOP, Principal Registration, Outsourced Compliance, New BD Member, SEC RIA Registration, AML Audit, RegTech Software, Annual Compliance Review, Cryptocurrency Blockchain, CFTC NFA Membership, FINRA Remediation, Form ADV, FOCUS Filing.
- HQ
- Woodland Hills, California
Broker Dealer Compliance Questions
Broker Dealer Compliance's helpline number is +1-818-657-0288
Broker Dealer Compliance's website is rndcompliance.com
Broker Dealer Compliance's LinkedIn profile is https://www.linkedin.com/company/finracompliance
Broker Dealer Compliance has
4 employees.
View email and phone details for 4
employees at Broker Dealer Compliance.
Broker Dealer Compliance's industry is
Financial Services
Broker Dealer Compliance's top competitors are
Stonekimbro,
Terra Obsequium Group,
Black & White Insurance Brokers,
Investor Choice Advocates Network,
Revitalize Resources Operating Inc.,
Black And White Finance,
Businessnexa Pro,
Eo Quito.,
Finop & Cfo Solutions, Llc,
Compliance Exchange Group (Cxg).
Broker Dealer Compliance's support email address is tmorrissey@rndcompliance.com
Broker Dealer Compliance's categories are Financial Services
Broker Dealer Compliance's founding year is 1984
