Broker / Dealers
SEC3 offers an extensive suite of customizable compliance consulting and training services for FINRA and SEC regulated Broker-Dealers, on either a one-time or recurring basis depending on your needs. With a focus on best practices and industry regulations, examples of services include, but are not limited to:
- Written Supervisory Procedures Review
- Email Reviews
- Mock Audits
- Supervisory Review
- Mutual Fund Sales Practices Reviews
- Reviews of Correspondence with Clients
- Trading Review & Analysis
- Reviews of Required Books and Records
- AML Review