Investment Adviser Services
Broker-Dealer Services
Whether your firm is a full service or limited broker-dealer, RRS can provide the expertise and support to meet your firm’s regulatory requirements. RRS offers support through a suite of services from initial business planning to the creation and implementation of compliance and risk management programs. Leverage our team’s regulatory and compliance expertise to build and support a compliance program for your firm that meets or exceeds your regulatory requirements.
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Strengthening Your Broker-Dealer Compliance Program with Support from RRS
Broker-dealers operate in one of the most highly regulated areas of the financial services industry. Regulatory oversight from the SEC, FINRA, and other self-regulatory organizations requires firms to maintain strong compliance controls and supervisory systems. As a result, firms must implement a comprehensive broker dealer compliance program that addresses supervisory responsibilities, internal controls, regulatory reporting, and periodic compliance testing.
How RRS Helps Firms Build an Investment Adviser Compliance Program
Investment advisers operate in a complex regulatory environment where maintaining a strong investment adviser compliance program is essential. The Securities and Exchange Commission (SEC) requires advisers to establish and maintain formal compliance systems designed to prevent regulatory violations and protect investors.