Start a Broker/Dealer
All you need to know about starting a FINRA registered Broker/Dealer
Anti-money laundering (AML) compliance is one of the most scrutinized compliance areas within broker/dealers and financial institutions. Conducting rigorous independent AML program audits and testing will help to identify problems before outside examiners have the opportunity.
New AML security requirements enacted over the past decade have increased complexity and costs of AML compliance. Our professionals at HedgeCo will help you work in a proactive manner that can prevent problems from developing, saving your firm money in the long run. The HedgeCo Legal and Compliance Group can assist firms with anti-money laundering compliance via:
Facilitating AML audits
AML program training
Ongoing AML program assessment
Developing AML procedures
AML report filing
Customer verification and defining identification requirements
Our independent inspection procedures ensure that your organization is meeting all regulatory and internal compliance requirements. We are equipped to help you develop, implement, and regulate AML compliance procedures in today's changing regulatory environment.