The USA Patriot Act requires that broker-dealers develop anti-money laundering compliance systems. The Act also mandated that an independent audit be conducted of these compliance systems on an annual basis.

Now that you have your system in place, it’s time to ensure it is adequate for your firm and was properly implemented by your staff.

SRP will thoroughly examine all of your anti-money laundering systems for compliance with all relevant rules and regulations. SRP will provide a confidential report to management detailing the audit findings and making recommendations for corrective action.

Audit services offered by SRP include, but are not limited to, the following:  

  • Review of current supervisory and compliance procedures
  • Review CIP documentation
  • Review of clearing agreement
  • Review CTR filings
  • Review sampling of deposits
  • Review SARS filings

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