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

Supervisory Services

Supervisory Systems and Procedures 
  • Customized Written Supervisory Procedures
  • Written Supervisory Control Systems
  • Customized Anti-Money Laundering Procedures
  • User-Friendly Field Compliance Manuals
  • Supervisory System Design and Implementation
  • OSJ and Branch Office Structure Design and Implementation
  • Registered Representative Questionnaires and Disclosure Forms
  • Impact Analysis when converting business from Commission-based to Fee-based business (RIA)

Compliance Audits and Meetings
  • Mock Regulatory Examinations
  • Branch Office Compliance Audits
  • Non-Registered Site Inspections
  • Special Cause Examinations and Investigations
  • Annual Compliance Meeting Programs
  • Anti-Money Laundering Independent Audits
  • Supervisory Control System Testing and Reporting
 

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

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