Personalized compliance consulting services, proactively positioning for the changing regulatory environment.

Broker-dealer firms rely on experienced BRC consultants to recognize and assess their organizations precise compliance risks, while providing expert insight and analysis through regulatory or compliance issues. BRC provides these services through various compliance solutions, including regulatory compliance reviews, anti-money laundering independent testing, regulatory exam and supervisory control risk assessments, fraud investigations, and specialized compliance or product reviews.

BRC’s compliance solutions allow firms to augment available resources, while receiving the direct regulatory perspective and approach desired to assess compliance with changing regulatory requirements in a fluid manner. BRC’s consultants provide firms with direction and/or recommended corrective action for any potential weaknesses/inconsistencies identified or provide complete bundled solutions for select compliance related tasks. Upon engaging BRC’s services, we become a partner in your firm’s compliance efforts.

For our most comprehensive and customizable broker-dealer compliance solution, please see our Diazo Program.