Start a Broker/Dealer
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Outsourcing Compliance

Ask yourself the following questions: 

  • Is your organization's resources being utilized efficiently?
  • Is your current compliance program capable of supporting new regulatory requirements?
  • Is your operating platform functioning at optimal cost levels?
  • Is there a quicker and more effective way to handle regulatory compliance?

 

If you can't come up with a good answer for these questions, you should think about outsourcing your compliance needs. Outsourcing securities compliance to an expert consultant has become a successful long-term competitive strategy for broker/dealers.

As companies grow in size and scope, focus often shifts away from core activities. Outsourcing allows companies to focus on their core competencies and in the case of compliance, leaves the concerns of rules and regulations to the experts. It is because of this expertise that the HedgeCo Legal and Consulting Group can offer the following compliance activities:

  1. Continuing Education

  2. Mock FINRA Audits

  3. Investment Advisor Registration

  4. Broker/Dealer Registration

  5. Business Continuity Planning

  6. Compliance Manuals

  7. Anti-money Laundering Procedures

  8. State Registration

  9. Training Manuals and Needs Analysis

  10. Web CRD Filings

  11. Written Supervisory Procedures

  12. Broker/Dealer Financial and Operations Principal (FINOP) Outsourcing

  13. Net Capital Computation

  14. SEC Mandated Accounting Audits

  15. FOCUS Preparation and Filing

Not only are we able to offer these services, but we can offer them at a fraction of what they would cost to do in-house.

 

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