FINRA & SEC Regulation and Compliance

In today's complex regulatory environment, financial services firms are confronted with the daunting task of navigating through an ever changing and complex web of rules and regulations affecting their businesses. At the same time, these firms are experiencing economic challenges unlike many have ever seen in their lifetime. Our clients want to stay competitive and succeed, and to do this they need to focus as much of their resources on growing their business as possible.

In order to keep you at the top of your regulatory and compliance game, we offer personalized and professional compliance and regulatory services to broker dealers, investment advisers, mutual funds, and hedge funds.

At BPM, we put our client's needs first. With over 25 years of financial services experience, including experience with the industry's leading rule maker and regulator, BPM's Regulatory and Consulting Group offers a unique perspective on the regulations affecting our clients. We are able to complement your existing compliance program, and develop tailored made programs and systems to fit your unique needs; all the while at competitive rates, allowing you to keep your compliance costs down.

For our Broker Dealer clients, we offer the following services:

• Preparation of FOCUS reports, including in-house FINOP services
• Supervisory Controls Testing
• Anti-Money Laundering (AML) compliance
• New broker-dealer setup & Continuing Membership Applications
• Compliance program development and implementation
• Function as Service Bureau for your CRD Account, handling critical registration filings on your behalf
• Continuing Education program development & delivery
• Branch Office Inspection program
• Exam preparation and mock audits

For our Investment Adviser clients, we offer the following services:

• Form ADV, Parts 1 & 2, including amendments and annual updating amendment
• Written Compliance policies and procedures
• Registration filings through the IARD system
• SEC/State Securities administrators inquiries
• Ongoing personnel training of personnel
• Offering documents and investment adviser agreements
• Exam preparation and mock audits
• Soft-dollar arrangements with broker dealers
• Testing of order management systems
• Annual review of compliance policies and procedures

For more information about our FINRA compliance services, email us at bpm@bpminc.com.