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Mock Audits and FINRA Examinations

 

Our attorneys have been representing broker-dealers and registered investment advisers for over 20 years in their regulatory and compliance matters. We have assisted clients not only in creating compliance procedures, but in testing those procedures to makes sure that they are compliant, and working.

Through compliance reviews and mock audits, we can identify written procedures and the execution of those procedures in order to minimize the risk of adverse findings during routine, or surprise, examinations by FINRA, the SEC and the state regulators.

Our regulatory exams and mock audits are conducted by a team of carefully selected securities regulatory professionals, and include securities compliance attorneys, former FINRA staff members, compliance directors and examiners. Using a team approach to the process allows us to provide an efficient and comprehensive audit, using team members with the proper experience for each aspect of the audit.

Our audits are tailored to the individual firm, and include a comprehensive "exit interview" with management and department heads.

We have the skill and ability to cover all aspects of a firm's operations including

  • Written Supervisory Procedures
  • Business Continuity
  • Anti-Money Laundering
  • Anti-Money Laundering Testing
  • Annual Compliance Meetings
  • General Sales Practices
  • Supervisory System Review
  • Compliance System Review
  • Trading and Market Making
  • Variable Contracts
  • Investment Company Securities
  • Penny Stock Securities
  • Private Placements
  • Research Reports

Contact our office today to discuss our review of your firm's practices - before FINRA calls to announce an examination, when it is too late to change your procedures. For more information contact Mark Astarita, 212-509-6544 or by email - astarita@beamlaw.com

 
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