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FinOp and Financial Accounting Services

Quadrant Regulatory Group has an experienced staff of Series 27 and 28 professionals and accountants who can serve as the FinOp or CFO on behalf of your firm and provide full accounting support.

In addition, as FinOp, we will respond to all regulatory inquiries concerning the filing. We will file all reports required by regulators including FOCUS – Monthly or quarterly, SSOI, Form Custody, SIPC 6 and 7.

We can prepare all of the firm’s financial records including the general ledger, trial balance, balance sheet, and income statement. For broker-dealers, we will compute net capital on at least a monthly basis and, if required, prepare haircut calculations and an inventory schedule.

We will communicate directly with your annual financial auditor, and provide them with all requested items. In addition, as necessary, we will prepare the financial notes.

Broker Dealer and Investment Adviser Compliance Services

Quadrant Regulatory Group is a leading provider of broker-dealer compliance solutions in California. We offer a range of comprehensive compliance and financial solutions for broker-dealers and investment advisers, tailored to meet specific regulatory needs.

One of the key services provided by Quadrant Regulatory Group is the provision of customized compliance packages. These are specifically designed to address the unique compliance requirements of each client, ensuring that they are able to operate in a compliant manner while minimizing regulatory risk.

Quadrant Regulatory Group also offers branch inspections and supervisory controls testing (Rule 3120) and policies and procedures testing (Rule 206(4)-7). These tests help broker-dealers and investment advisers identify and address any potential compliance issues within their compliance programs. Through a thorough examination of the internal processes and procedures, Quadrant Regulatory Group can help ensure the company is in compliance with all relevant rules and regulations.

Written supervisory procedures are another important aspect of the compliance solutions offered. Quadrant Regulatory Group assists broker-dealers and investment advisers in developing comprehensive written supervisory procedures that meet regulatory requirements. These procedures are essential in ensuring the firm has proper oversight and controls in place to detect and prevent potential violations.

Furthermore, Quadrant Regulatory Group provides mock examination services. We help clients prepare for regulatory examinations by conducting mock examinations and providing guidance on how to address potential issues that may arise during these examinations.

Lastly, Quadrant Regulatory Group assists broker-dealers and investment advisers with CRD filings. We ensure that all required forms and documents are properly completed and submitted in a timely manner, helping clients avoid any potential penalties or fines.

Anti-Money Laundering Services

Quadrant Regulatory Group offers a comprehensive range of Anti-Money Laundering (AML) services in California designed to help businesses comply
with AML regulations and prevent money laundering activities. These services include AML Independent Testing, Money Laundering Procedures, AML Risk Assessment, and Rule 314(a) FinCEN Reviews.

AML Independent Testing is a service provided by Quadrant Regulatory Group that involves an independent review and evaluation of a business’s AML policies, procedures, and controls. This testing ensures that an organization’s AML program is effective in identifying and preventing money laundering activities.

AML Procedures offered by Quadrant Regulatory Group are designed to help businesses establish and implement effective processes to detect and deter money laundering activities. These procedures involve the creation of robust internal controls, customer due diligence measures, and ongoing transaction monitoring.

Finally, Rule 314(a) FinCEN Reviews involve conducting due diligence and reviewing customers for compliance with FinCEN regulations and potential connections to known or suspected terrorists or money launderers. These reviews help businesses stay compliant with regulatory requirements and ensure that they are not unknowingly facilitating illicit activities.

How Can We Help?

Get in touch with us to learn how our team of experienced compliance & accounting professionals, and former SEC and FINRA regulators, can ensure you reach your goals.

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