Broker-Dealer/Bank-Dealer Compliance Services

ARS offers Broker Dealer/Bank Dealer compliance services for the following fixed income products:

• Public Finance/Origination/Underwriting
• Investment Banking/Structured Products
• Trading/Sales (Retail and Institutional)/Remarketing
• Tender Option Bond Programs/Derivatives

Specific Services Include:

• Continuing Membership Application preparation and submission
• Create, Amend and Update Written Supervisory Procedures and Control Infrastructures in accordance with new and amended regulations
• Annual Rule 3130 Reviews, Certification and Report
• Anti-Money Laundering Training
• Review the Firm’s AML Program and Perform the AML Annual Audit
• OFAC, FinCen, CIP and other AML Management Reports/Surveillance
• Initial and/or Amendment Registration Preparation and Submission i.e., Form U4, U5 and BD
• Prepare and Submit Regulatory Filings Monthly, Quarterly and Annually
• Surveillance Program Outsourcing, Exception Identification and Management Reporting
• Periodic Regulatory and Industry Best Practice Bulletins
• Monitor the Status of New and Amended Rules or Rule Interpretations
• Conduct On-Site as well as Off-Site Training (CE Firm Element, ad hoc, Annual Employee and/or New/Amended Rules)
• Provide Compliance Support for RFPs, Continuing Disclosure, Conflicts of Interest, Political Contributions etc.
• Provide Support and Assistance with Regulatory Exams, Inquiries, Subpoenas, Sweep Letters, and/or Internal Audits
• Interface with Regulators/Auditors on a Day-to-Day Basis
• Provide Expert Witness Services