Broker-Dealers

IQ-EQ provides the following ongoing compliance support and services for its broker-dealer clients:

  • Initial setup of compliance program. This includes an in-depth review and gap analysis of your company’s written supervisory procedures, including anti-money laundering procedures. Upon completion of this review, we will deliver and assist in implementing a complete compliance program customised to your business
  • Ongoing assistance in implementing processes as outlined in your businesses’ written supervisory procedures, and completing tasks according to your compliance program
  • Ongoing review of published regulatory updates to determine the impact to your business. Applicable updates will be made to your compliance program as necessary
  • Training:
    • Firm Element Continuing Education (Rule 1120b): annual needs analysis and program setup
    • Annual compliance meeting facilitation
  • FINRA exam preparation, as occurs
  • Annual independent audit and testing of AML procedures (Rule 3310)
  • Annual internal OSJ compliance audit/inspection (Rule 3110(c))
  • Annual testing and verification of supervisory controls and CEO certification (Rules 3120 and 3130)
  • Form filings, as occurs (Form BD, Form U4, Form U5)
  • FINRA CRD and company gateway monitoring, support and facilitation

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