Broker-Dealers

Our firm specializes in providing compliance support for broker-dealers and offshore financial institutions that conduct an international business with offshore high net worth and ultra high net worth clients. We offer expertise in cross border transactions and anti money laundering.

V&V Consulting Group offers broker-dealers:
    • Initial and Continuing (Rule 1017)  FINRA Membership Application

    • Annual CEO Certification/Supervisory Controls Assessment  (FINRA Rules 3120 and 3130 formerly Rules 3012/3013)

    • Branch office, Office of Supervisory Jurisdiction (OSJ) Inspections and Mock Regulatory Audits

    • Independent Annual Anti Money Laundering Audit, Risk Assessment and Enhanced Due Diligence Reviews

    • Correspondent Bank/Foreign Financial Institution Due Diligence Reviews

    • Development and Enhancement of Operational Risk Program

    • Compliance Guidance on Cross Border Transactions, Conducting Business in Latin America and the Caribbean, Foreign Finders

    • Private Placements and Offerings, Regulations D and Regulation S Compliance Reviews

    • Onsite Assistance and Guidance During Regulatory Audits

  • Independent Consultant in SEC/FINRA Actions/Settlements
  • Assistance in discreetly conducting internal Investigations of fraud, embezzlement, theft, employee dishonesty, Insider Trading, customer complaints involving large losses, or other sensitive matters:

    • Conduct in depth investigation,  review of pertinent records and interviews with key employees
    • Prepare detailed report of findings and exhibits that organize and consolidate data and support conclusions
    • Identify extent of losses and assets that may be recovered
    • Provide recommendations for implementation of appropriate controls to prevent a recurrence
    • Assistance as required, with notification and filing of reports with regulatory authorities and law enforcement
  • Assistance with Regulatory Look Backs and Remediations:

    • Implementation of regulatory look backs and remediation mandates action plan
    • Ongoing assessment and reporting to counsel, senior management and regulators, as requested

We provide cost effective outsourced compliance solutions to meet, or augment your regulatory obligations including:

  • Supervisory Procedures Reviews and Updates

  • Advertising, Sales Literature, Email and Web Site Reviews

  • Firm Element Annual Assessment and Customized Training – AML, Reg. S, Foreign Finders/Solicitors, Foreign Corrupt Practices Act and Anti Bribery Regulation

  • Annual Compliance Meeting

  • Regulatory Filings and Registrations

V&V Consulting is not a law or accounting firm and therefore, we do not render legal, or accounting advice.   

V & V Consulting Group Broker Dealer Consulting Services Brochure
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