Broker-Dealer Compliance Services

ARG is staffed with a team of dedicated and hard-working regulatory compliance and risk management professionals that specialize in establishing, maintaining and enforcing highly effective broker-dealer compliance programs.

Our dedicated compliance and risk management professionals deliver proactive, customized support services to your firm.  Our compliance and risk management support services provide various levels of ongoing, continuous support based on your individual needs and allows for flexibility to navigate between programs at any time.

  • DISCLOSURES AND CERTIFICATIONS
  • OUTSIDE BUSINESS ACTIVITY TRACKING AND REPORTING
  • PERSONAL TRADING REVIEWS
  • LIAISON WITH REGULATORS
  • MOCK AUDITS
  • GAP ANALYSIS
  • RESEARCH REPORTS AND DISCLAIMER REVIEWS
  • ADVERTISING AND MARKETING FILING
  • BLUE SKY FILINGS
  • CYBERSECURITY
  • ADVISE AND SUPPORT
  • RULE ANALYSIS