Broker Dealer compliance Email Format

Financial ServicesCalifornia, United States2-10 Employees

Finra Compliance, based in Woodland Hills, California, provides outsourced regulatory compliance services for broker-dealers, RIAs, funds, and fintech platforms. It offers customized plans covering new member registrations, ongoing regulatory compliance, accounting and reporting, and administrative support. Led by Dave Banerjee, CPA, the firm focuses on regulatory issues across broker-dealers, RIAs, M&A firms, municipal broker-dealers, private equity, and other financial services, including ventures that incorporate blockchain and cryptocurrency components.

It develops tailored procedures and policies to align with each client’s business model and regulatory landscape. Services span membership application and registration, due diligence and regulator filings for ICOs, anti-money laundering and anti-crypto-laundering controls, client disclosures, books-and-records compliance, designated principal registration, accounting and administrative services, and remediation programs. It supports a range of broker-dealer structures, including exemptions from public offerings (such as Reg D, A, A+, CF, S) and state registrations, and maintains professional credentials including FINRA series registrations, PCAOB and AICPA memberships, NSCP, and involvement with the Blockchain Industry Group, along with activity as a panel speaker on compliance, fintech, and audit topics.

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