Our firm specializes in providing compliance support for broker-dealers and offshore financial institutions that conduct 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:
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Initial and Continuing (Rule 1017) FINRA Membership Application
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Annual CEO Certification/Supervisory Controls Assessment (FINRA Rules 3120 and 3130 formerly Rules 3012/3013)
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Branch office, Office of Supervisory Jurisdiction (OSJ) Inspections and Mock Regulatory Audits
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Independent Annual Anti-Money Laundering Audit, Risk Assessment and Enhanced Due Diligence Reviews
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Correspondent Bank/Foreign Financial Institution Due Diligence Reviews
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Development and Enhancement of Operational and Anti-Money Laundering Risk Assessment
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Compliance Guidance on Cross Border Transactions, Conducting Business Offshore and Foreign Finders
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Private Placements and Offerings, Regulations D and Regulation S Compliance Reviews
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Onsite Assistance and Guidance During Regulatory Audits
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- Independent Consultant in SEC/FINRA Actions/Settlements
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Work with counsel to provide 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
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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:
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Supervisory Procedures Reviews and Updates
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Advertising, Sales Literature, Email and Web Site Reviews
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Firm Element Annual Assessment and Customized Training – AML, Reg. S, Foreign Finders/Solicitors, Foreign Corrupt Practices Act and Anti-Bribery Regulation
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Annual Compliance Meeting
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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
