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

Contact us
to discuss your compliance needs: