Why...

...settle for

canned compliance

when you can have a 

Compliance Partner

on your Team?

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Broker/Dealer
Services

Supervisory
Services

General
Services

FINRA Online
and Financial
Filing Services

General Services

Securities Consulting Services 
  • Compliance and Regulatory Review
  • Sales Practice Review
  • Product and Suitability Review
  • Review of Communications with Public
  • Review of Advertising and Sales Literature
  • Review of E-mail Policy and Web Sites
  • Customized Business Continuity Plans
  • Reminder Service for Regulatory Policy and Rule Changes

Business Consulting Services 
  • Strategic Business Plan Design and Implementation
  • Compliance Department Design and Organization
  • Staffing Assessment and Job Description Development

 

 
 

BD Compliance Partners, Inc. is your trusted broker / dealer compliance consultant.

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