Broker-Dealer Compliance

Compliance Solutions

• Broker-Dealer Services
• Chief Compliance Officer Outsourcing
• Compliance Consulting
• Compliance Program Oversight and Monitoring
• Compliance Training
• Derivatives Compliance
• Hedge Fund Compliance
• Investment Advisor Compliance
• Principal Financial Officer Outsourcing
• Private Equity Firm Compliance

Alaric offers specialized compliance solutions to broker-dealers

Alaric Compliance offers a high level of specialized compliance solutions to broker-dealers, including:

• Chief Compliance Officer Services
• Compliance Support Services
• Compliance Consulting Services
• Independent Anti-Money Laundering (AML) Reviews
• Firm Element Continuing Education Training Programs
• Annual Compliance Meetings

 

Chief Compliance Officer (CCO) Services

• Alaric provides an independent, competent and experienced CCO to broker-dealers who do not employ their own CCO.
• Our offering includes quarterly compliance reviews, continuing education on what a firm element is and how it applies to broker-dealers, an annual compliance meeting and monthly consulting support.

Back to Top

 

Compliance Support Services

• To broker-dealers who already employ a CCO, Alaric offers resources to assist with periodic compliance reviews and written assessments.
• Our clients hire us on a monthly, quarterly, semi-annual or annual basis to ensure that compliance review requirements are met when reporting to senior management.

Back to Top

 

Compliance Consulting Services: Alaric's experts are available an hourly basis to help our clients:

• develop compliance procedures;
• write or review new broker-dealer compliance applications;
• review customer complaints;
• conduct internal investigations and/or independent assessments; or
• provide support for regulatory reporting or inspection.

Back to Top

 

Independent Anti-Money Laundering (AML) Reviews

• Alaric conducts independent testing of AML Compliance Programs for our broker-dealer clients.
• Our consultants follow the requirements of the U.S. Patriot Act and the SRO rules, so that, if Alaric supplies a CCO for a client, we also supply a second qualified individual to serve as the AML Compliance Officer.
• Clients receive a detailed written assessment as a result of our testing, along with any material findings.

Back to Top

 

Firm Element Continuing Education Training Programs

• Alaric's experts develop effective training programs based on the specific needs of each client's business activities and its registered representatives.
• Our trainings meet SRO continuing education requirements.

Back to Top

 

Annual Compliance Meetings

• We hold annual compliance meetings for our broker-dealer clients.
• At each annual meeting, we address all relevant compliance issues and provide all underlying documents and records to clients to satisfy regulatory requirements.

Back to Top

 

Newsroom

• October 2006
  Compliance Handoff: : Hiring a Full-Time CCO is Proving Costly for Advisors and Funds, Which Are Now Outsourcing the Entire Compliance Department, FinanceTech
• More News

Publications

• August 2004
  Outsourcing the Role of CCO, Compliance Corner
• More Publications