BD Compliance

57 %
43 %
Information about BD Compliance

Published on March 14, 2014

Author: ncsonline


How to Make Compliance Registration Easier For Broker Dealers and Investment Advisors: How to Make Compliance Registration Easier For Broker Dealers and Investment Advisors As registration and compliance standards are changing rapidly and becoming more complex, it is indeed difficult to keep track of necessary rules and regulations pertaining to broker dealer compliance and registration of investment advisor. Typically, broker dealers, private equity firms, hedge funds and mutual funds, and registered investment advisors are the one who benefits from compliance and registration services. However, owing to remarkable complexity in the process, it becomes preferable to hire professional broker dealer consulting or investment advisor registration services. Compliance and registration related processes seem to be easier and time-efficient by hiring expert services.   Broker is an organization or person who trades in securities. On the other hand, a dealer trades on behalf of the client. Thus, broker dealer is referred to a business or individual who performs both the functions. They either work as subsidiaries of commercial and investment banks, or independently. In today’s complex business environment, broker dealer compliance has become important than ever. Owing to intricacy of compliance process, most broker-dealers hire expert services for broker-dealer registration, compliance consulting, mutual fund and private equity fund assistance, and breakaway broker transitions. In addition to these, they also provide online compliance checklists on monthly basis to facilitate policies and procedures audit. On the other hand, registered investment advisors (RIAs) are responsible for managing portfolios and giving advice to high net worth individuals and institutional investors. However, for investment advisors, it is important to be registered, which is a complex and time-consuming process. Considering this, there are companies offering professional investment advisor compliance and registration services that makes the process less complicated and hassle-prone. PowerPoint Presentation: They provide assistance in all types of federal and state registration services. Typically, they have experts with vast experience in state filling and SEC requirements. Moreover, they often have a good network, which speeds up the process of registration and compliance. Expert professionals will guide you through the complete process of investment advisor registration and compliance, preparing important documentation and offering hands-on assistance in handling complex regulatory issues. Typically, RIA registration services include: Pre-registration consulting Telephone interview for discussing registration-related matters Preparing and filing Form ADV for RIA registration Preparing and filing state/SEC registration forms Providing written policies and procedures, code of ethics in customized or template online format Ongoing support for compliance, including renewals, updates, and annual updating amendment Facilitating online registration, compliance, and continuous support tools PowerPoint Presentation: Whether you are a broker-dealer or investment advisor registering for the first time, or a firm looking for outsourcing unique compliance needs, choosing the most reliable service provider is critical. Due to limited time and resources, lack of qualified staff, and budgetary constraints, most firms prefer outsourcing their compliance and registration needs. However, it is important to choose a company that has vast experience and network in the field of broker dealer compliance and RIA registration, and the specialization to offer dedicated services as per requirements. At the same time, the company should be good regulatory knowledge, ability to scale, and technological sophistication, offered at a reasonable cost. Those who want to know more about registering as an investment adviser can visit . PowerPoint Presentation: 355 NE 5th Ave., Suite 4, Delray Beach, Florida 33483 United States Phone - (561) 330-7645 Fax - (561) 330-7044 Email - Website -

Add a comment

Related presentations

Related pages

BD Compliance

127 Main Street Lilburn, Ga. 30047 Ph: 770-923-9632 Fax: 770-923-9760 Hours of Operation: 9am-5pm Monday - Friday, ET
Read more

BD Sustainability | Ethics & Compliance

Ethics & Compliance. BD ensures that business practices, including our social and environmental efforts, adhere to the highest ethical standards.
Read more

Compliance - BD -

CAESAR is Broker Dealer compliance software that provides you the flexibility needed to create compliance rules that fit your business model and risk profile.
Read more

BD Regulatory Documents: BD (Becton Dickinson and Company)

Welcome to the BD Regulatory Documents website. Use the search buttons on the left to begin searching for BD Regulatory Documents. For assistance on how to ...
Read more

Quality Certificates Search - BD

BD provides Quality Certificates for many products certifying that these products have been manufactured and tested in accordance with BD specifications.
Read more

BD Medical Technology - Advancing the World of Health

At BD, we seek to usher in a new era of healthcare by bringing medical products, capabilities, and solutions to every corner of the world.
Read more

B/D Solutions

B/D Solutions Consulting delivers effective and profitable solutions regarding compliance, operations, technology and management to the securities broker ...
Read more

CAESAR (version 3.3), offered by Financial Database Services is a powerful and proven Broker-Dealer commission processing and compliance software platform.
Read more

One-stop compliance solution in Bangladesh | Ul listed ...

ComplianceBD is a one-stop compliance solution. UL listed products supplier. ComplianceBD Complete the project according to ACCORD & ALLIANCE Standard.
Read more