BROKER/DEALER COMPLIANCE SERVICES

DNM Consulting offers a full suite of services for broker/dealers ranging from outsourced CCO and Supervisory Principal services to branch office examinations and regulatory response assistance. If you are looking to start  a new broker/dealer or purchase an existing one, DNM will assist and guide you through the registration process under Rule 1017 and file your New Membership Application (NMA) or your Continuing Membership Application (CMA) with FINRA and the various state regulatory bodies.   Or maybe you're an industry veteran who needs to outsource some of your compliance services so you can focus more on your clients and running your business or just having a life.  Wherever you are, DNM can be the answer to the question, “What do I do now?”  

We deliver our services via multiple platforms depending upon our clients’ needs. Whether hourly billing, retainers or fixed fee projects, DNM Consulting will customize a program to meet your needs.

Broker/Dealer Compliance Services include:

· Outsourced Chief Compliance Officer Services

· Outsourced Supervisory Principal Services

· New Member Applications (NMAs) with FINRA 

· Continuing Member Applications (CMAs) with FINRA

· Regulatory Examination Assistance

· Regulatory Inquiry Assistance

· Branch Office Examinations

· Annual Compliance Meetings 

· Ongoing AML and FINCEN Reviews

· AML Audit/Independent Testing

· AML Procedures 

· Books and Records Creation and Review

· Business Continuity Plan Creation and Review

· Compliance Procedures/Manuals Creation, Customized and Reviewed

· Customer Complaint Review and Form Filing

· Due Diligence/Product Reviews

· Mock FINRA Regulatory Examinations

· Risk Assessment

· Regulatory  Filings

· 3120/3130 Supervisory Controls Assessments

· Surveillance

· Email Review

· CE Plan Creation and Review