Q&A

• Q:

  Can you assist with FINRA Membership Applications?

  A:

  We are well-versed in navigating the application process. We understand that dealing with requests from regulatory bodies such as FINRA, the SEC, or state regulators can be overwhelming. However, rest assured that our team is proficient in these applications and will work closely with your firm throughout the application process. We will address regulatory requests promptly and efficiently, ensuring a smooth and hassle-free experience for your firm.

  • 1 week ago
• Q:

  How can outsourcing regulatory compliance services benefit my broker-dealer or registered investment adviser?

  A:

  There are numerous benefits to choosing Quadrant Compliance Group as your outsourced compliance consultant. - Expertise: Leveraging a team of regulatory compliance professionals experienced in establishing, maintaining, and implementing compliance programs for broker-dealers and investment advisers. - Customized Solutions: We analyze your business activities and design a compliance program that addresses your precise needs. - Risk Prevention: We understand the dynamics of your business model, and how to apply risk–based processes to ensure regulatory compliance. - Accessibility: We make customer service a top priority and are available at a moment's notice.

  • 1 week ago
• Q:

  What FINRA and SEC Compliance Services do you offer?

  A:

  We provide compliance services to FINRA member broker-dealers and SEC registered investment advisers. We provide a broad range of compliance services including: • Assist companies with the New Membership Application process to become a FINRA member or registered investment adviser • Create and update Written Supervisory Procedures • Anti-Money Laundering Program Testing • Supervisory Controls Testing • CEO Certification Report • Business Continuity Plan Assessment • Annual Compliance Program Review • Mock Examinations • Branch Office Inspections • Coordinate with Regulators • Registrations, Licensing, and Electronic Filings • Develop and conduct Compliance training and education • Firm Element Continuing Education • Assist broker-dealers with the Continuing Membership Application process

  • 1 week ago
• Q:

  Can you assist with independent testing of the Anti-Money Laundering Program?

  A:

  Quadrant conducts comprehensive AML testing performed by Certified Anti-Money Laundering Specialists. We review for conformity with AML requirements, including those of FINRA, SEC, Bank Secrecy Act, USA Patriot Act, FinCEN, and the Office of Foreign Assets Control, providing an AML Testing Report with detailed reviews, findings, and recommendations to enhance your AML Compliance Program.

  • 1 week ago