AML Program Hawaii, Investment Advisers & Broker Dealer Compliance Consulting

Ensure Compliance in Hawaii’s Unique Financial Landscape

Hawaii’s financial sector is distinct, with Honolulu serving as a pivotal hub for broker-dealers, investment advisers, and financial institutions. Due to its strategic geographical position and international financial connections, adherence to SEC, FINRA, and Hawaii-specific regulations is essential for firms operating in the state.

Quadrant Regulatory offers expert regulatory compliance consulting in Hawaii, helping firms meet both federal and state-specific compliance requirements while staying ahead of evolving industry standards.

Why Choose Quadrant Regulatory in Hawaii?

Hawaii-Specific Compliance Expertise: Our team understands the unique financial landscape in Hawaii, including regulations enforced by the Hawaii Department of Commerce and Consumer Affairs (DCCA) – Securities Division, ensuring your firm stays compliant.
Tailored Compliance Strategies: We create customized compliance solutions for broker-dealers, investment advisers, and financial institutions, addressing the specific needs of Hawaii-based firms.
Support Across Key Financial Centers: Whether your firm operates in Honolulu, Hilo, or Kahului, we offer compliance consulting to meet your firm’s requirements wherever you are.

Comprehensive Compliance Services for Hawaii Firms

At Quadrant Regulatory, we offer a full suite of services designed to help Hawaii-based financial firms navigate regulatory compliance efficiently and effectively:

AML Compliance & Consulting

Develop and implement anti-money laundering (AML) programs that align with federal and Hawaii state laws.
Conduct AML risk assessments and transaction monitoring to prevent financial crimes and ensure regulatory compliance.

Investment Adviser Compliance

Assist registered investment advisers (RIAs) in Hawaii with SEC and state registration, Form ADV filings, and compliance audits.
Ensure firms comply with Hawaii Department of Commerce and Consumer Affairs (DCCA) – Securities Division regulations while aligning with SEC mandates.

Broker-Dealer Compliance

Assistance with broker-dealer registration in Hawaii, including FINRA membership applications and state licensing requirements.
Support for annual audits, compliance risk assessments, and SEC regulatory filings.

Regulatory Filings & Risk Management

Assist financial firms in complying with SEC, FINRA, and Hawaii-specific filing requirements.
Conduct internal audits and compliance risk assessments to proactively identify regulatory challenges.

Key Hawaii-Specific Compliance Considerations

Firms in Hawaii must adhere to both federal regulations and state laws enforced by the Hawaii DCCA – Securities Division. Here are the key compliance considerations:

Broker-Dealer & Investment Adviser Licensing: Firms must register with both FINRA and the Hawaii Securities Division to operate legally in the state.
AML Compliance for Hawaii Firms: Hawaii’s international financial ties require firms to implement robust AML programs to detect and prevent financial crimes, including money laundering.
State-Specific Securities Regulations: Hawaii enforces Blue Sky Laws, which regulate securities transactions within the state. Firms must comply with strict reporting and disclosure requirements to avoid penalties.

If your firm operates in Honolulu, Hilo, or Kahului, ensure that your compliance programs align with Hawaii’s financial regulations to avoid potential enforcement actions.

Industries We Serve in Hawaii

Quadrant Regulatory serves a broad range of financial sectors in Hawaii, including:

Broker-Dealers: Providing guidance on SEC, FINRA, and Hawaii-specific compliance requirements.
Investment Advisers: Supporting firms with SEC compliance, risk management, and state registration filings.
Financial Institutions: Offering AML compliance consulting, internal risk assessments, and regulatory training programs.

Why Partner with Quadrant Regulatory in Hawaii?

Partnering with Quadrant Regulatory offers Hawaii financial firms the following benefits:

Proactive Risk Management: We identify and mitigate compliance risks before they result in regulatory violations or penalties.
Custom Compliance Strategies: Tailored solutions to ensure your firm remains in compliance with federal and Hawaii-specific financial regulations.
Industry-Leading Expertise: Our team brings in-depth knowledge of SEC, FINRA, and Hawaii DCCA – Securities Division regulations, offering expert insights and guidance.

Ready to Navigate Hawaii’s Compliance Landscape?

Regulatory compliance in Hawaii requires expert guidance and careful planning. Quadrant Regulatory offers SEC, FINRA, and Hawaii-specific compliance consulting to help financial firms remain compliant while staying ahead of regulatory changes.

Contact us today to schedule a consultation and discover how we can help your firm navigate Hawaii’s complex financial compliance landscape.

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.