SDDco Group was named the #1 leading outsourcing consultant firm for broker-dealers in 2017. SDDco Group provides a variety of services for broker-dealers, including FinOp, Regulatory Services, Anti-Money Laundering programs, Cybersecurity, and more.
S.D. Daniels & Co., P.C. (SDDco-PC), a CPA firm and founding entity of the SDDco Group, provides both filing all regulatory reports and supervisory services tailored to the needs of broker-dealers. Every broker-dealer is required to maintain the services of a FINRA Series 27 Financial and Operations Principal (FinOp). SDDco-PC personnel can fulfill that role.
An SDDco-PC FinOp can be engaged to perform and supervise all aspects of the mandatory functions for FINRA-member broker-dealers. Our FinOp services include managing financial duties, FINRA filings, authority assistance, and more.
SDDco Regulatory Services, LLC (SDDco-RS) provides full-service compliance consulting to broker-dealers (BDs) seeking FINRA membership application services, ongoing regulatory compliance, consulting and support, and SDDco-RS can act as your designated Chief Compliance Officer.
S.D. Daniels & Company, LLC (SDDco-LLC) also provides independent testing of the Anti-Money Laundering (AML) programs of FINRA member broker-dealers. Our testing professionals are Certified AML Specialists (CAMS) and members of the Association of Certified Anti-Money Laundering Specialists (ACAMS).
Other Firms We Assist:
- Third-party marketers
- Foreign firms operating under Rule 15a-6 of the US Securities Exchange Act
- Introducing brokers
- Mergers & acquisitions brokers
- Underwriting brokers
- Proprietary trading brokers
Services:
- Regulatory Exam Support
- Registration & Filings
- FinOp Services
- Outsourced CCO
- AML Testing
- Accounting and Tax Services
