PROJECT & AUDIT SERVICES

PROJECT & AUDIT SERVICES

In addition to providing ongoing compliance solutions to a wide array of financial services firms, ARG also offers a multitude of options related to firm-specific audit needs. Our staff has worked with many firms to ensure all audit requirements are met. We believe our staff has the knowledge and experience to successfully execute project work that will undoubtedly help the firm identify risks and gaps.

 

  • ANTI-MONEY LAUNDERING INDEPENDENT TESTING (FINRA RULE 3310)

  • SUPERVISORY CONTROL REVIEW TESTING (FINRA RULE 3120)

  • RIA ANNUAL REVIEW (RULE 206(4)-7)

  • MOCK SEC AUDIT

  • BRANCH OFFICE INSPECTIONS

  • FINRA NEW MEMBERSHIP APP (FORM NMA)

  • FINRA CONTINUING MEMBERSHIP APP

  • FINRA MATERIALITY CONSULTATIONS

  • CYBER SECURITY PLAN DEVELOPMENT

    AND TESTING

  • INFORMATION SECURITY PLAN DEVELOPMENT AND TESTING

  • BUSINESS CONTINUITY PLAN DEVELOPMENT AND TESTING

  • STATE REGULATORY FILINGS

  • RISK ASSESSMENT

  • GAP ANALYSIS