September 14, 2023

Thought Leadership

BXS Annual Regulatory Audits and Reviews

As your organization prepares for your annual Regulatory Audits, year-end reviews, Let BXS help. With over 35 years of Experience our Subject Matter Experts (Former FINRA Regulators) provide independent third-party regulatory audits and reviews required by FINRA and the SEC  for items such as FINRA Rule 3110 (Supervision), 3120 (Supervisory Control Systems), 3130 ( CEO Annual Certification), and Annual AML Reviews to name a few. BXS can also assit with State Regulations (Blue Sky Rules):

BXS- Regulatory Flyer_2023

Coverage Includes US,UK, EMIR FCA-MAR (MIFID) Regulations, APAC, and Canada (IIROC), Conducting Annual Meetings to all Registered Staff/ Branch reviews and Full Review of your current Written Supervisory Procedures (WSP’s).

In Addition, Security Concerns are at an all-time high as Insider Threats Continue to Rise with Layoffs, we can provide the latest insights and tips on Fraud Detection to keep you ahead of the regulatory curve.

We offer our services as consultants. By leveraging our extensive knowledge of the development of forensic testing and risk assessment of compliance programs in accordance with SEC, FINRA and CFTC and NFA rules and regulations, your firm will limit the risk of potential costly sanctions and reputational risk. As SME’s, we work with you to evaluate, perform gap analysis educate and advise (recommend remediation if required) on compliance requirements.

Contact us today to help you get started on your Independent Third-Party Review (646).502.4561 or info@bxstech.com