PHONE
407-696-9600
FAX
407-629-9006
warren@forestbrokerageadvisers.com
rhonda@forestbrokerageadvisers.com
info@forestbrokerageadvisers.com
Forest Brokerage Advisers, Inc. can conduct onsite exams for a Broker/Dealer to assist you in complying with industry regulations. We conduct our onsite examinations from a regulatory perspective so that you are current and up-to-date with applicable securities regulations. Included in the service:
Mock FINRA examinations can be done on a surprise basis with only one
principal aware that the exam will occur to identify and correct
regulatory deficiencies.
3012 Certifications to review your supervisory control systems and
procedures.
Annual compliance meetings.
Independent Anti-Money Laundering (AML) audit to insure compliance
with the Patriot Act requirements.
Comprehensive reporting of all exams and audits.
These services should be on an hourly basis. Please feel free to contact us online, or at (407) 696-9600 for a quote.
Mock FINRA Exams, 3012 Certifications, Annual Compliance Meetings,
AML Audits
