Wednesday, December 02, 2009
January 2010 is just around the corner! Don't wait until the last minute to fulfill your 2009 year-end compliance obligations!
- Is your Compliance Department shorthanded due to lean staffing?
- Are you still grappling with finishing up your 2009 year-end obligations, such as:
- Independent AML audit?
- 1940 Acts 38a-1, 206(4)-7 annual review?
- FINRA/NASD 3012/3013 annual review?
- OSJ and branch office audits?
- Do you have other year-end compliance obligations that you are still challenged to complete?
BCCP CAN HELP! And we’re just a phone call away – 818/836-1291 – or by email cbekker@bccp-llc.com. Also please visit our website at http://www.bccp-llc.com.
We have scores of seasoned, experienced Senior Consultants at all levels – auditing, compliance, risk management, governance, operations, and IT -- located across the USA, Canada, Asia Pacific, the Middle East, and other regions around the globe. Whatever your firm’s needs are – whether it’s an extra hand in December, getting that annual AML audit done, or other year-end pressing compliance matters – we have the right Senior Consultant to help you with your firm’s unique requirements.
BCCP also offers affordable year-end regulatory “health checks” that will give your firm a clearer idea of the compliance risks your firm will need to address in early 2010. For example:
Registered Investment Advisers
· IARD Administrative Functions | · Action Plan for Annual Review |
· Form 13F Reports | · Code of Ethics Enforcement |
· Form U4 Amendments | · Calculation of Assets Under Management |
· Employee Certifications and Acknowledgements | · Advertising Reviews |
· Solicitors | · Form ADV Reviews |
· Records Management | · Testing of Disaster Recovery Plan |
· Compliance Training | · Updating IPS or Client Investment Objectives and Risk Tolerances |
· Privacy | · Vendor Relationships |
Broker/Dealers
· Business Continuity Plan | · Electronic Storage of Books and Records |
· Firm Element Plan (CE) | · AML Plan |
· Firm Element Training/CE Done to Date | · AML Independent Audit |
· Written Supervisory Procedures | · Limited Size and Resources Exemption (if applicable) |
· Public Disclosures on Form BD and Elsewhere | · Annual Compliance Meeting |
· Registered Representative Limitations | · Membership Agreement Provisions |
· Business Line Limitations or Restrictions | · ·State Renewals |
· Required Notices to Customers Under GLB, Reg. S-P (or other rules) | · Control/Ownership Changes |
PLEASE CALL BCCP TODAY for a complimentary consultation! We’re here 24 hours a day, 7 days a week @ cbekker@bccp-llc.com & 818/836-1291. Also please visit our website at www.bccp-llc.com.
Best wishes for an enjoyable, safe, and compliant Holiday Season!
Carrie
Carrie F. Bekker
Founder & Chief Executive Officer
Bekker Compliance Consulting Partners, LLC (BCCP)
Bekker Compliance Institute (BCI)
Best in the WestSM Virtual Office Services (BITW)
skype: bccp-llc, +1.818.381.4805
Senior Consultants, Subject Matter Experts & Instructors Worldwide!
Global Headquarters:
19360 Rinaldi Street, Suite 453
Porter Ranch, CA 91326
Phone: +1.818.836.1291
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