RCSI provides practical compliance solutions to yo
ur every day compliance needs.
Our team is made up of former Chief Compliance Officers who have front line experience
with FINRA Audits.
RCSI has experience serving as General Supervisory Principals for BDs. Our Team maintains
the following licenses: Series 7, 9, 10, 14, 24, 63, 66, 79, 87 and 99. In addition,
our Team has the following certifications: CFA, ACAMS, CRCP. Let RCSI support your
BD compliance efforts for New Membership or Continuing Membership Applications.
Compliance Solutions for Broker Dealers include:
• Develop Written Supervisory Procedures tailored to business lines
• Perform a GAP Analysis and risk assessment
• Annual Compliance Training and employee certifications
• WebCRD administration including Form BD, Form U4, U5 and Form BR
• Registration assistance - schedule exams, continuing education, fingerprinting
• Employee personal trading review
• Anti Money Laundering Procedures and reviews by an ACAMS specialist
• Develop Business Continuity Plans tailored to your business
• Act as liaison with the FINRA coordinator
• Mock FINRA Audits
• Mock Branch Office Inspections
• Provide support during FINRA exams
• Assistance with FINRA findings and corrective actions
• Provide a compliance calendar
• Email review using keyword lexicon and random review
