Broker-Dealer Services
Contact Our Expert
Contact Our Expert
Our global team of professionals build, manage and protect our clients’ businesses by providing exceptional regulatory advice and integrated expertise.
Our broker-dealer compliance specialists are former SEC and FINRA professionals, forensic accountants, investigators and industry and technology experts. The team works with U.S. and international broker-dealers to assist them in meeting regulatory obligations while reducing their compliance risk profile.
In today’s ever-changing, complex environment, broker-dealers must create, maintain and adhere to strict compliance requirements. Identifying potential risks for compliance violations, training employees and ensuring compliance with FINRA and SEC rules and regulations can be a difficult task. Our team of experts provides a broad range of services from initial registration to ongoing support.
Registration Services
- FINRA New Membership Applications
- Continuing Membership Applications
- Materiality Consultations
Ongoing Regulatory Support Services
- Create and update Written Supervisory Procedures
- Testing and reviews of AML Policies and Procedures
- Prepare Form U-4 and U-5 Filings and Amendments
- Prepare Form BD and BR Filings and Amendments
- FINRA 3120/3130 Annual Compliance Review and Certification
- Prepare and Conduct Annual Compliance Training (Firm Element)
- Provide surveillance (e.g. personal trading, electronic communications)
Gap Analysis Reviews, Due Diligence Reviews and Training Services
- Independent Anti-Money Laundering Reviews
- Regulatory Investigative and Examination Support Services
- Expert Testimony and Analysis
- Enhanced Due Diligence Services
- Broker-Dealer Due Diligence Reviews
- KYC/Onboarding Services
- Beneficial Ownership Services
Kroll is capable of being a one-stop shop for multiple services relating to breach response, from forensics investigations to support for clients in litigation issues.
Recommended Vendor for Security Incident Response in Gartner® Invest Analyst Insight: SRM 2020
Kroll named a Pacesetter in the ALM Intelligence: Cybersecurity Services 2020