Broker-Dealer Compliance Program, Policies & Procedure Development

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Service Overview

Broker Dealer
Compliance Examination & Testing
Compliance Program Policies & Procedure Development
Business Planning & Registration Services
Financial Reporting & Bookkeeping
Compliance Support Services


Investment Adviser
International

  

RRS provides the experience necessary to ensure that your firm's compliance program is adequately designed to meet and exceed regulatory requirements.  RRS' consultants will assess your firm's prospective or current business operations and develop written supervisory policies and procedures that are tailored to your business model.

 

Written Supervisory Procedures

RRS creates customized written supervisory policies and procedures based on your firm's operations. From developing the internal control structure to establishing the testing methods and cycles, RRS can provide the guidance necessary to ensure that your procedures are specifically designed to address your firm's business and structure in order to meet today's stringent regulatory requirements.

 

Compliance Manuals

RRS also provides customized compliance manuals that will help to ensure your firm's policies and procedures are adequately communicated to your sales professionals and employees. While the importance of a strong written supervisory procedures manual cannot be disputed, a good compliance manual will further strengthen your firm's compliance program.

 

RRS' written supervisory procedures and compliance manuals cover the core regulatory requirements including but not limited to:

  • Supervisory Controls
  • Financial Operations
  • Hiring and Registration
  • Sales Practice Supervision
  • New Product Due Diligence
  • Trading and Market Making
  • Municipal Securiites
  • Fixed Income
  • Investment Banking
  • Underwriting, M&A & Advisory Services
  • Research
  • Risk Management
  • Compliance Oversight