Ascendant’s consultants provide professional, tailored services to broker-dealers. Firms may choose from the following services:
- Supervisory control reviews (i.e., NASD Rule 3012 and FINRA Rule 3130 “testing” and reviews)
- Broker-dealer compliance risk assessment/ internal control reviews
- Branch office audits
- Anti-money laundering audit
- Website, advertising, and marketing reviews
- Compliance consulting and business plan development
- Supervisory procedures and updates
Ascendant will help develop a compliance program for your firm so you are prepared with a process and culture of compliance to satisfy regulators.
FINRA / SEC Registration
Ascendant Consultants will guide you through the rather complex process to register your firm with FINRA, the Securities and Exchange Commission, and applicable state regulatory bodies.
Annual Compliance Meetings and Continuing Education Training
We provide compliance training either on-site or via webcasting on a variety of specific and current regulatory topics for continuing education. We make compliance easy for your broker-dealer or advisory reps!
Please call 1-860-435-2255 for more information.