AML AUDIT SERVICES

Contact Brokerage Consulting Group today to discuss how we can help your firm develop a compliant Anti-Money Laundering Compliance Program. If your firm has an AML program in place, Brokerage Consulting Group can review and access the adequacy of the current program. Contact Brokerage Consulting Group to discuss your specific needs or to request a proposal... Our experienced consultants will alert your firm to mistakes and compliance violations that could result in regulatory action and recommend corrective measures. In short, our goal is to make sure that the firm is following the rules set forth in the Written Supervisory Procedures... The Brokerage Consulting Group offers Anti-Money Laundering (AML) Audit Services, FINRA Rule 3120 Reviews, Branch Office Audits, FINRA Exam Preparation and more. The USA PATRIOT Act of 2001 requires that all securities firms establish an Anti-Money Laundering Compliance Program to prevent and detect the act of money laundering. FINRA Rule 3120..

Also known as: Brokerage Consulting Group, Brokerage Consulting Group, LLC

Primary location: Alpharetta United States