FINOP & Accounting
Our Series 27 and 28 professionals can serve as the Financial and Operations Principal (FINOP) on behalf of your firm, or assist your internal employees with full accounting, record keeping, and regulatory matters. Our FINOPs have practiced regulatory accounting for decades and have extensive experience dealing with the SEC, FINRA, and external financial auditors. We provide FINOP services to a range of broker-dealers that engage in business lines including but not limited to private placements, merger and acquisitions, proprietary trading, agency/riskless principal trading, firm commitment underwriting, and non-U.S. broker-dealer chaperoning.
Broker-Dealers
Quadrant has a team of regulatory compliance professionals that are experts in establishing, maintaining, and implementing compliance programs for broker-dealers. We offer differing levels of ongoing compliance support including but not limited to registering as a Chief Compliance Officer, secondary principal, providing retainer services, or conducting ad-hoc reviews. We do not take the one size fits all approach, and our services are specifically tailored to fit the needs of your broker-dealer.
FINRA Membership Application
Quadrant has completed numerous New Membership Applications (NMA) and Change in Membership Applications (CMA) and will prepare, file, and address requests you receive from regulators promptly and efficiently, ensuring a smooth and hassle-free experience for your firm. Whether you are looking to become a new broker-dealer, or expand your existing business, we have the regulatory expertise to help. We will provide you with a dedicated consultant that will guide you through the application process.
Independent Anti-Money Laundering Test
Quadrant’s Certified Anti-Money Laundering Specialists conduct independent AML tests to evaluate the quality of broker-dealers’ AML programs. We have conducted hundreds of AML tests for broker-dealers ranging in business activities from private placement firms to clearing firms. Our consultants are properly qualified by experience and training and are appropriately independent as required. Our tests will identify any weaknesses in your firm’s AML program and will provide you with recommendations for corrective action.
Investment Advisers
Quadrant’s compliance professionals are well versed in the compliance requirements of registered investment advisers. Our consultants have been providing registration and ongoing support services to investment advisers for over a decade. Whether your firm is a state registered or SEC registered adviser, we have the expertise to guide you through regulatory inquiries or examinations and will help you create a compliance program that meets regulatory requirements.