QCS Financial Services, Inc.

Serving our clients since 1989
 
 
 
Broker Dealer Compliance
 
Location:
1576 Second St., Suite E
Livermore, CA 94550
(925) 447-7660 (Phone)
(925) 447-7666 (Fax)

 

 

We offer full compliance and registration services to FINRA Broker Dealers, including:

  • Mock SEC Exams
  • Individual Compliance Consulting
  • Annual Compliance Meeting
      • Rule 3010 requires an annual compliance meeting with all registered personnel.  This can be personalized to your firm’s needs.
  • Firm Continuing Education
  • Written Supervisory Procedures Manual - from preparation to minor updates
  • Anti-Money Laundering Policies and Procedures
      • Creation, revisions and reviews
      • Best Execution Analysis
  • Annual Internal Compliance Inspections
      • Rule 3010 requires an annual review of the firm’s supervisory systems
      • Rule 3010 requires onsite inspections of all remote office locations
      • Rule 3011 requires an “independent” test of the firm’s AML policies and procedures
      • Customer Complaints Review and Reporting
  • Advertising Review and Filing
  • Web CRD Filings
  • Business Continuity Plan
  • Broker/Dealer Registrations
  • FINOP Services