Comprehensive Compliance Services

BROKER DEALER

Comprehensive Compliance Services

Written Supervisory Procedures

Supervisory Controls (3012-3013)

AML Programs & Audits

Full Service B/D Registration

Continuance in Membership

Branch Office Audits

NASD Mock Examinations

State Registrations and Licensing

FinOp & FOCUS Consulting

Seminars & Compliance Meetings

CE Needs Assessment & Training

INVESTMENT ADVISER

HEDGE FUND

Compliance Consulting

Broker Dealer

Comprehensive Compliance Consulting

Comprehensive Compliance Consulting
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
SCA offers the following ongoing compliance consulting services for registered advisers. We will coordinate a flexible compliance program to meet the needs of your firm.

SCA's Consulting Services include the following products and services:

	Written Supervisory Procedures
	Supervisory Controls (3012-3013) Procedures and Consulting
	AML Programs & Audits
	Full Service B/D Registration
	Continuance in Membership Application (Rule1017)
	Branch Office Audits
	NASD Mock Examinations
	State Registrations and Licensing
	FinOp & FOCUS Consulting
	Seminars & Compliance Meetings
	CE Needs Assessment & Training
	Respond to regulatory inquiries (e.g. SEC and NASD deficiency letters)