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RND Resources Inc.Regulatory Compliance Consulting

Welcome to RND Resources Inc your Regulatory Compliance Experts RND Resources specializes in FINRA and SEC consulting, compliance, and remediation for broker-dealers, ria firms, fund managers, and related financial industry firms.

Broker DealersOyster ConsultingOyster Consulting

Broker-Dealers. Oyster Consulting offers our broker-dealer clients a wide array of services. Our team is made up of experienced industry practitioners, not career consultants.

Home - SDDco Group

SPEAK TO AN SDDco CONSULTANT. Are you interested in Broker-Dealer or Investment Advisor Registration, Compliance Consulting, Accounting, Tax or FinOp Services? Books and RecordsThe SEC requires that broker-dealers create and maintain certain records so that, among other things, the SEC, self-regulatory organizations ("SROs") and state securities regulators may conduct effective examinations of broker-dealers.Insurers’ outsourcing arrangements – Even more scrutiny. Insurers’ outsourcing arrangements – Even more scrutiny 7 February 2017. The outsourcing arrangements of firms, particularly the outsourcing of critical or important operational functions, have come under increasing regulatory scrutiny from both the FCA and PRA over the last couple of years.Advertising ReviewRegEd Industry Challenge. Both Compliance and Marketing have critical roles in supporting core business objectives and effective, efficient Advertising Review is integral to that goal.Find a BrokerWorldwide Broker Network Worldwide Broker Network Limited is registered in England, number 4972183, registered office address Witan Gate House, 500-600 Witan Gate West, Milton Keynes, MK12 1SH Our firm serves small investment advisory or broker-dealer organizations that as a result of cost and competitive pressures are strategically aligned to embrace outsourcing and minimize compliance.

CE CentralRegEd

RegEd Solution. RegEd’s CE Central solution simplifies the management of producer compliance with state CE requirements. CE Central marries licenses held in user profiles with jurisdictional requirements to create a single, comprehensive view of each producer’s requirements.

HomeWorldwide Broker Network

Worldwide Broker Network Limited is registered in England, number 4972183, registered office address Witan Gate House, 500-600 Witan Gate West, Milton Keynes, MK12 1SH

Cipperman Compliance Services - Outsourced CCO Services

FINRA fined a large broker-dealer $2 Million for under-resourcing its compliance function, thereby allowing unlawful short-selling. As the firm’s trading activity increased, the firm continued to rely on a primarily manual system to monitor compliance with Regulation SHO’s requirements.

NCS Regulatory Compliance - Expert Compliance Support

Cyber Security Watch. Combining what we know with what technology can do – leading the way in regulatory compliance. Cybersecurity is unfamiliar territory for many investment adviser and broker-dealer firms, despite the fact that most organizations maintain an online presence and use online software services containing sensitive firm or.

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