Issuer Related Compliance Practices and Procedures
We have worked with many of what we (and FINRA) refer to as “Private Placement Broker-Dealers” over the years. Some also provide M&A advice and conduct what is generally referred to as Investment Banking services. We have therefore had the great opportunity to draft and redraft, and further refine over time, a very efficient and user friendly private placement broker-dealer issuer due diligence compliance program and Written Supervisory Procedures addressing this topic.
We would welcome the opportunity to discuss what we have accomplished in this area with you. If you’re interested in discussing with us what we can do to streamline your broker-dealer’s private placement compliance practices just click here.
Investor Related Compliance Practices and Procedures (including WSPs and AML procedure)
Read “Issuer Related Compliance Practices and Procedures” above. After many years of working with Private Placement Broker-Dealers and Investment Banking firms, we have developed an investor suitability compliance program and written supervisory procedures that combined with the procedures respecting issuers above form a fundamentally simple yet compliant supervisory regime that will allow you to stay on top of your broker-dealer’s due diligence and suitability obligations without losing sleep or losing your mind in the process.
We can enlighten you with sensible solutions to your private placement broker-dealer AML and customer identification program (“CIP” or “AML CIP”) requirements as well.
If you’re interested in discussing with us what we can do to streamline your broker-dealer’s private placement compliance practices click here.