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Fact Sheets |
Whether you manage an established firm or are considering a startup, RRS offers a wide range of services designed to meet virtually every compliance and operations need. From initial startup through ongoing operations to expansion and mergers, RRS can provide the insight and expertise to help your firm keep up with rapid changes in your business, regulations, and the industry. RRS provides compliance examinations, compliance program development, business planning & registration services, financial reporting & bookkeeping, compliance administration, and a broad range of related services.
Compliance Examination & Testing - RRS suite of examination services for broker-dealers and investment advisers, built on our staff’s years of experience with regulatory organizations in conducting examinations, include regulatory compliance examinations, supervisory controls testing, AML program testing and investment adviser compliance program testing.
Compliance Program, Policy & Procedure Development - Broker-dealers and investment advisers can leverage on our extensive industry experience in drafting and implementing customized written supervisory and compliance procedures, supervisory controls, and compliance programs.
Business Planning & Registration Services - If you are considering starting your own broker-dealer or registered investment adviser, or expanding your current business, RRS' professionals provide practical guidance to help you meet your objectives and the requirements of regulators.
Financial Reporting & Bookkeeping - RRS provides a full range of bookkeeping and FOCUS filing services for broker-dealers. Bookkeeping services are also available to investment advisers and other small businesses.
Compliance Support Services - Strengthen your compliance program without adding additional staff by utilizing RRS’ customized compliance support services. These services combine one or more of our suite of services to support your compliance program in a cost effective manner. |
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