The SEC, NASD, and many State regulators are reviewing for compliance with the anti-money laundering requirements during their examinations. Is your firm ready for such regulatory scrutiny? SRP can assist your firm to establish and implement anti-money laundering procedures designed to detect and prevent money laundering.

SRP understands that written supervisory procedures must be tailored to the unique circumstances of each firm. We will thoroughly examine your individual circumstances, firm size, products and services offered, geographical dispersion, clearing relationship and record keeping systems. SRP develops customized Written Supervisory Procedures that are relevant to the firm’s business activities and sales practices.

In addition to the Firm’s written procedures, SRP has developed Registered Representative Compliance Alerts (“RRCA”) to assist your staff in understanding their role in your anti-money laundering program.

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

  • Opening New Accounts
  • Red Flags
  • Acceptable Funds

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