Serving Broker-Dealers both Nationally and Internationally

Gery Sadzewicz Consulting LLC can provide a complete suite of services to either act as your firm’s CCO or FINOP or support your firm’s named CCO or FINOP. We will help you identify regulatory and risk management challenges, and then build and implement a practical solution that satisfies all your compliance obligations. Our complete compliance outsourcing services include the following:         

  • Annual compliance testing, which includes annual audit and report to management as well as a review of the firm’s current business to ensure adequacy of compliance policies and procedures
  • Anti-money laundering reviews
  • Ongoing maintenance of compliance manual and written supervisory procedures (includes development of compliance manual and written supervisory procedures as needed)
  • Personal trading reviews
  • Email reviews
  • Maintenance of restricted and watch lists as applicable
  • Annual compliance meeting
  • Continuing education as applicable
  • Annual certifications (distribution, completion, collection, and record maintenance)
  • Client suitability reviews
  • Annual due diligence review to ensure adequacy of current due diligence procedures
  • All other work necessary to ensure compliance with applicable rules given the firm’s business model
  • Registration with SEC, FINRA, and state regulatory authorities:
    • Registration as a broker-dealer with the SEC, FINRA, and applicable state regulatory authorities
    • Preparation of all registration documents
    • Monitoring of progress from start to finish
    • Development of compliance and operating procedural policies and manuals
    • Preparation of privacy notice

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