Alexander Church utilizes its expertise to assist all manner of broker-dealers, from limited to full-service broker-dealers. We will work with your team to ensure proper controls in all relevant areas, such as conflict of interest and sales practice issues, supervisory and risk management processes and firm element training. As former examiners and Chief Compliance Officers in this area, we understand that the stakes are high and the nature of the highly technical requirements in the broker-dealer industry. As with all of our subject areas, we are well versed in examination priorities for FINRA and the SEC and will support your compliance and senior management team in producing an enviable compliance and risk management infrastructure.
Services include but are not limited to: