BCCP Updates & News

CARRIE F. BEKKER

Carrie at GAIM Middle East
November 2007
Jumeirah Beach Hotel
Dubai, UAE

2008 Conference Beat

SEC, Australian Authorities Sign Mutual Recognition Agreement

Bekker Compliance Consulting Partners, LLC (BCCP)

BCCP is a full-service regulatory compliance consulting firm that specializes in providing proactive global compliance solutions to financial institutions, governmental organizations, and nonprofit organizations worldwide. BCCP also provides E-Compliance SolutionsSM to clients seeking guidance in identifying, vetting, selecting, and implementing the right technology solutions to meet the client's unique needs.

In response to ever-increasing client demand, our core business is focused on global/cross-border regulatory compliance matters. As a result, BCCP has assembled a global consortium of seasoned Senior Compliance Consultants, all of whom have extraordinary expertise in global compliance, as well as high-level regulatory compliance experience in banking, credit union, broker/dealer, investment adviser, hedge fund, mutual fund, and insurance sectors. Our goal is to provide our clients with the highest level, sophisticated advice that has become so crucial in dealing effectively with the constant evolution and ever-increasing complexity of U.S. and global compliance issues.

BCCP was founded by Carrie Bekker, a regulatory compliance veteran with 28 years' regulatory compliance expertise that she derived from originally working as corporate/securities law paralegal in law firms, corporate law departments, and trust companies, both throughout the US and internationally. Later in her career, she served as a senior compliance officer of financial services conglomerates, including AEGON/Transamerica (where she served as an AML Compliance Officer for the Fund Complex), as well as Pacific Life and AIG SunAmerica. Over the years, she has managed regulatory compliance issues including the Bank Secrecy Act, USA PATRIOT Act, SEC 1940 Acts including Rules 38a-1 and 206(4)-7, FINRA rules, including NASD Rules 3010-3013, Sarbanes-Oxley, and SEC Regulation S-P (privacy).

ABOUT OUR SENIOR COMPLIANCE CONSULTANT CONSORTIUM:

BCCP has an extensive global consortium of Senior Regulatory Compliance Consultants located worldwide. All members of our Senior Compliance Consulting consortium have at least 10 years' "real world" regulatory compliance experience in the financial services industry; approximately 90% of our members have more than 20 years' experience in the business. Our Senior Compliance Consultants have wide-ranging financial services experience with regulatory, enforcement, and international organizations, including:

  • Financial Crime Enforcement Network (FinCEN)

  • The five banking regulators (the Fed, OCC, OTS, FDIC, NCUA)

  • Securities and Exchange Commission (SEC)

  • Financial Industry Regulatory Association (FINRA, formerly NASD and certain regulatory functions of the New York Stock Exchange)
  • Federal Bureau of Investigation (FBI)

  • Financial Action Task Force (FATF)

  • FATF-style Regional Bodies (FSRBs)

  • The Egmont Group of Financial Intelligence Units

  • World Bank

  • International Monetary Fund (IMF)

  • UN Office on Drugs and Crime (UNODC)

Although many of our Senior Compliance Consultants are seasoned former regulators, we additionally require them to have a much more diverse set of skills in their global compliance toolkit. As a result, each member of BCCP's Global Compliance Consortium has two or more of the following attributes in their compliance repertoire:

  • Project management with regulatory compliance experience;

  • Regulatory compliance expertise, including attorneys, former regulators, former CCOs, and other senior compliance pros;

  • Auditing, including CPAs, Sarbanes-Oxley, and former Big 4 and internal auditing pros, as well as auditors with IT compliance experience;

  • IT expertise with cutting-edge knowledge of how legacy mainframe and web-based systems operate;

  • Operations expertise from virtually all sectors of the global financial services industry, including:



  • Banks and financial services holding companies

  • Mutual funds

  • Hedge funds, including Shariah compliant funds

  • Insurance companies

  • Investment advisers

  • Brokers /dealers

Why choose BCCP?

Impeccable service at prices you can afford
Because BCCP has a unique virtual business model, we can provide our clients with top-notch regulatory compliance services at a reasonable cost without compromising quality. How is this possible? Because BCCP's business operation requires less overhead than larger compliance consulting firms, we can pass the savings on to you by providing you with consulting services at reasonable hourly, monthly or fixed rates. Because our margins are lower, we can also attract "star quality" consulting talent by paying our consultants higher hourly rates than the larger firms.

Understanding your firm's business and unique needs
At BCCP, we understand that your compliance needs are unique. As a result, our mission is to provide you with creative compliance solutions tailored to fit your firm's individual needs.

How do we accomplish this? By spending time with you to understand your business, your challenges and your high-risk areas. We then work closely with you to develop proactive compliance strategies to reinforce your compliance program in "stress" areas that may need fortification.

At BCCP, our mission is also to provide you with information on the latest compliance data and trends, so that you can make informed decisions about compliance strategies and solutions, based on the ever-changing regulatory landscape. As a result, our experienced and multi-talented "A Team" of Senior Compliance Consultants makes it a priority to stay current on the latest industry trends, regulatory developments, cutting-edge E-Compliance SolutionsSM, and innovative monitoring and auditing techniques.