November 17, 2023
BXS Launches “Fully Outsourced Compliance Services”
“Fully Outsourced Compliance Services”
New York, NY, November 2023 | 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):
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.
In addition we also offer Compliance Officer “For Hire” services and can assist with providing oversight services on behalf of your firm. This has been specifically successful for smaller shops keeping headcount down and firms undergoing transition in this role. This includes helping with search and onboarding of an incoming officer
Contact us today to help you get started on your Independent Third-Party Review (646).502.4561 | firstname.lastname@example.org