BDL Compliance Consulting
About Us
Expert Compliance Management for Broker Dealers and Registered Investment Advisers
As former regulators with FINRA (formerly NASD), we believe we have a unique insight into the regulatory system and a specialized knowledge of a very complex apparatus of securities laws, rules and regulations. Our company was founded in 2002 with the intent to provide our clients with the highest level of customer service, honesty and integrity. Our expertise and qualifications allow our team to provide a full suite of compliance consulting and expert witness services.
Our Services
BDL Compliance Consulting provides a full suite of compliance services to Broker Dealers and Registered Investment Advisers.
From the application process of setting up a new Broker Dealer or Registered Investment Adviser to providing ongoing compliance consulting services to existing firms.
In certain cases, we can even register directly with firms as a Series 24 Principal and/or Series 27 Financial and Operations Principal (FinOp).
Cost
Our all-inclusive, flat-rate consulting packages allow our clients to outsource their compliance functions at a fraction of the cost of full-time compliance staff. We also offer competitive flat-rate pricing on a project basis (Independent Anti-Money Laundering Audits, Mock Audits, New Membership Applications, Continuing Membership Applications, etc.)
Experience
Our partners have years of industry experience, both as regulators and as in the field registered persons. We ensure that our clients are set up to operate exactly as required by their regulatory body, whether it’s FINRA, the SEC or any state regulatory body.
Peace of Mind
Our work has been battle tested with all regulatory bodies, and our clients know that their firms have a culture of compliance that is recognized by regulatory staff.