Broker Dealer Solutions
 

Mandated or Stipulated Consultancies

Mandatory ConsultanciesB/D Solutions has an experienced staff of professionals available when the regulators mandate the use of independent consultants as a remedy.

Many times, a practical solution to a regulatory problem is to offer a settlement that engages a competent consulting firm. This offers a beneficial service to Broker/Dealers aiding their compliance efforts, instead of them simply paying fines and penalties.

In such situations, we work closely with the Broker/Dealer and the regulators to ensure all areas of concern are properly addressed. Our focus is to provide realistic recommendations on how to create and implement long-term solutions, such as:

  • Engineer solutions to meet FINRA, SEC and State mandates
  • Advise on regulatory settlement negotiations
  • Implement remedial training programs
  • Liaison with state and federal regulators

 

 

B/D Solutions Consulting • 4060 Peachtree Road,
Suite D #322 • Atlanta, GA 30319 • 877-423-4636 • Copyright © 2004
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