New York, NY (1888PressRelease)
March 27, 2008 - Our services feature on-site visits by our Compliance experts and ongoing support via phone and email. We do not sell compliance products or provide anything "off-the-shelf." Our staff brings their real life experience gained "from the trenches" to promote a culture of compliance throughout your organization.
Specifically, clients may choose one or of more of the following services:
• File Review - review files to facilitate compliance with applicable FINRA rules; we advise you regarding filing requirements, review activities of your firm related to these files which include org charts, FINRA files, Registered Rep files, RR Attestation Files, RR disclosure files and customer account files. We create files as required after our review.
• Web CRD Administration -serve as the FINRA Web CRD administrator on your behalf or assist someone designated by your firm to file electronic forms, advise you of relevant CRD requirements, perform required quarterly review of Web CRD and the NASD contact system; monitor relevant training requirements, facilitate exam scheduling and assist with filings and applications.
• Policies & Procedures - review Written Supervisory Procedures, Compliance Manual, Firm Element Needs Analysis and Business Continuity Plans for adequacy and accuracy; incorporate updates and revisions as required.
• Annual Compliance Meeting - facilitate the development, delivery and documentation of the annual compliance meeting including meeting agenda, meeting materials and attendance requirements; assist in delivery and follow-up support.
• CEO Certification -review, as per NASD Rule 3013, effectiveness of Policies and Procedures; work closely with your CEO and senior management on completion of certification and documentation of required activities, including CEO Certification Report, CEO Annual Compliance and Supervision Certification.
• Interface with Regulators - guide your firm in its dealings with FINRA and other regulatory authorities, including FINRA examinations, response letters and information requests.
• Communications with the Public - facilitate compliance with applicable rules and regulations, regarding e-mail, instant Messaging and written correspondence.
• Application of Rules - ensure compliance with multiple, complex FINRA rules and regulations regarding critical aspects of your business, including research, Anti-Money Laundering, Registration & Licensing, Disclosure Requirements, Transaction Documentation, and Books & Records.
• Supplementary Support Services -Policies & Procedures, Manuals, Anti-Money Laundering effectiveness testing as required by NASD Rule 3011 and filing membership applications as necessary.
• In recent years, as the regulatory environment has expanded, Jeremiah Associates has assisted clients in reviewing and improving their procedures, systems or reporting processes to meet regulatory requirements. As a result, we gained a ground-up view of the impact on client business practices and how best to integrate requirements into process flows with minimal impact on business operations and maximum benefit to clients.
A major benefit of Jeremiah Associates' Compliance Regulatory Support Services is leveraging our subject matter expertise. This permits your firm to concentrate on core business activities while we pro-actively review regulatory changes and continually analyze the impact on your business. We keep up-to-date on requirements which can prevent regulatory violations during an examination.
Clients who would benefit from these services include FINRA member Broker/Dealers, Registered Investment Advisors, Hedge Funds, Investment Management Companies and Custodians.
Contact us for more information on how your organization can leverage our Compliance Regulatory Support Services to improve your Compliance function.
About Jerry O’Connell:
Jerry is a 30+ year veteran of the industry with real world experience in business processes and related technology. Along with his associates, he is dedicated to assisting firms in remaining competitive and compliant, with the ability to process business volumes without limits as to staff, procedures or applications. Visit www.jeremiahassociates.com for more details.
About Jeremiah Associates:
Jeremiah Associates brings years of experience developing and delivering the most relevant and effective advisory, development and learning solutions to the financial services and capital markets sectors. Their clients are among the world's top banks and securities brokerage firms and encompass the domestic and global markets. Jeremiah Associates strives to assist clients in becoming safer, more productive, more competitive and most importantly - more profitable.
Delivering real-world solutions for business challenges.
For more information about our services and learning programs, please visit our website:
www.jeremiahassociates.com
