New Broker-Dealer Compliance Calendar
FINRA recently made available a new compliance calendar to help member broker-dealers meet their ongoing regulatory requirements. Other helpful tools are detailed below and accessible on the FINRA website.
The Compliance Calendar
FINRA’s 2017 compliance calendar provides firms with a calendar view of upcoming required filings, a schedule of live educational opportunities and events, and significant deadlines. Future enhancements will include firm-specific information for a more customized view of upcoming events and deadlines.
- See the FINRA 2017 Compliance Calendar
Anti-Money Laundering (AML) Template
FINRA’s provides a template to help small firms establish an AML compliance program as required by the Bank Secrecy Act and associated regulations such as FINRA Rule 3310. “The template provides text examples, instructions, relevant rules and Web sites and other resources that are useful for developing an AML plan for a small firm.”
Written Supervisory Procedures
FINRA’s Written Supervisory Procedures Checklist, Updated in 2016, lists the topics of focus related to the various business activities performed by firms looking to become a FINRA member broker-dealer or to expand an existing business. This is a living document that should be revised and updated as necessary. Firms should compare their existing WSP with FINRA’s checklist to identify gaps.
Need Assistance with Regulatory Compliance?
To speak to a firm partner about your broker-dealer and ongoing regulatory compliance and/or AML independent testing, reach out to the SDDco Group:
- Call Us: 212-751-4422
- Email Us: firstname.lastname@example.org
- Ask Us: contact form
About SDDco Group
Formed in 1952, the SDDco Group (www.sddco.com) delivers outsourced professional support to the financial services and technology sectors. Our menu of professional services includes accounting, regulatory and tax compliance, AML testing, brokerage hosting and supervision, as well as assuming designated FinOp, CCO, and CFO roles.