SCA offers a uniquely customized compliance support program for broker dealers. We engage with you to understand the optimal level of support given your current resources, business model and specific challenges. For example, you may need a high level of support to solve a current challenge and less support as current challenges are resolved. You will never have to purchase a pre-determined level of service.

We support our clients in the following areas:

  • Unlimited access to consulting staff
  • Regulatory inspections
  • Written Supervisory Procedures
  • Supervisory Controls Review (FINRA Rule 3120)
  • FINRA Mock Audit
  • Risk Assessment
  • Gap Analysis
  • Training
  • CCO and staff coaching
  • CFTC/NFA filings
  • Other required regulatory filings
  • AML review
  • Marketing review