Broker-Dealer/Bank-Dealer Compliance Services

Fixed Income Groups

ARS offers compliance services for Broker-Dealer/Bank-Dealers with fixed income municipal needs across groups including:

• Public Finance/Origination/Underwriting
• Investment Banking/Structured Products
• Trading/Sales (Retail and Institutional)/Remarketing
• Tender Option Bond Programs/Derivatives

Specific Services Include

• Prepare and Submit New Member and Continuing Member Applications
• Create, Amend and Update Written Supervisory Procedures and Control Infrastructures in accordance with new and amended regulations
• Conduct Annual Rule 3130 Reviews, Certification and Report
• Provide Anti-Money Laundering Training
• Review the Firm's AML Program and Perform the AML Annual Audit
• Conduct OFAC, FinCen, CIP and other AML Management Reports/Surveillance
• Prepare and Submit Initial and/or Amendment Registration i.e., Form U4, U5 and BD
• Execute Surveillance Program, Exception Identification and Management Reporting
• Share Periodic Regulatory and Industry Best Practice Bulletins
• Prepare and Submit Regulatory Filings Monthly, Quarterly and Annually
• Monitor the Status of New and Amended Rules or Rule Interpretations
• Conduct On-Site as well as Off-Site Training (CE Firm Element, ad hoc, Annual Employee and/or New/Amended Rules)
• Provide Compliance Support for Best Execution, Mark-Up's, Trade Reporting, Reg BI, and Off-Channel Communication, etc.
• Provide Support and Assistance with Regulatory Exams, Inquiries, Subpoenas, Sweep Letters, and/or Internal Audits
• Interface with Regulators/Auditors on a Day-to-Day Basis
• Provide Expert Witness Services

Our Approach

1. Assessment - Comprehensive review of your current compliance infrastructure and needs
2. Implementation - Develop and deploy tailored policies, procedures, and surveillance programs
3. Training - Educate your team on regulations and best practices
4. Ongoing Support - Continuous monitoring, updates, and regulatory guidance

Ready to Strengthen Your Compliance Program?

Contact our team to discuss how we can support your broker-dealer compliance needs.