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"Best
execution in the delivery of professional services"
Our Mission
To employ extensive securities industry
experience, high ethical and professional standards, and well-established
business and regulatory relationships to provide services on a wide range
of issues to help broker-dealers, investment advisers, self-regulatory
organizations, trade associations, market centers, and other market
participants meet the challenges presented by the dramatic structural,
legislative, and regulatory changes occurring in the financial services
industry.
Let us put our talents to work for you:
- Conducting independent audits of anti-money laundering programs
We have conducted
audits of all types of firms - large retail wirehouses,
institutional, clearing firms, small correspondent firms, on-line brokerage
firms, and large and medium-size regional firms. Our
flat rate fee structure makes FINSEG an economical alternative to audit and
law firms providing a similar service. Indeed, many firms have found
our services more cost-effective than devoting internal resources to this
function.
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Reviewing breakpoint policies and procedures
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Providing guidance on implementation of new SEC
books and records
requirements
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Analyzing disclosure requirements for
regulatory reporting purposes by firms and individuals
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Advising on state registration and licensing
requirements for broker-dealers and investment advisers
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Drafting comment letters, exemption requests,
and white papers
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Assisting with regulatory inquiries
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Processing broker-dealer and investment adviser
registrations
Contact Us
Karen M.
O'Brien
Judith Poppalardo
kobrien@finseg.com
jpoppalardo@finseg.com
(301)
912-5253
(703) 465-4494
(202)
437-3349
(202) 437-1914
- General Information: info@finseg.com
Webmaster: webmaster@finseg.com
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