Broker Dealer compliance Employee Directory
Financial ServicesCalifornia, United States11-50 Employees
Finra Compliance is an outsourcing solution for BD’s, RIA’s, Funds, and Fintech platforms. Our practice provides customized plans in new member registration, regulatory compliance, accounting and reporting needs, and administration. We specialize in regulatory compliance for Broker-Dealers, Registered Investment Advisers RIAs, M&A firms, Municipal Broker-dealers, Private Equity, Emerging Technology Platforms, and other types of financial service businesses. Leadership is under Dave Banerjee, CPA who has expertise in regulatory compliance, reporting and audit issues, custody exams, SEC and FINRA examinations, PCAOB audits, and more. Dave also has an Engineering degree for firms pursuing Fintech offerings. He assists with licensing and new member applications as well as regulatory compliance programs where blockchain, cryptocurrency, initial coin offerings, wallets, tokens, and related technology are part of the business. Finra Compliance knowledgeable professionals develop tailored procedure and policy to meet regulatory requirements which fit your unique business model. • Membership Application and Registration • ICO Due Diligence & Filing with Regulators • Anti-Money Laundering and Anti-Crypto-Laundering • Client Suitability and Disclosures • Books and Records Compliance • Principal Registration - Designated CCO & FinOp • Accounting and Administrative Service • Compliance Remediation Program We assist various types of Broker-Dealer business models including those with exemption from public offering like; Reg D, A, A+, CF, S, as well as state registration. Our credentials include - • FINRA Series Registrations: 7, 24, 27, 55, 63, 79 • Member/auditor - PCAOB and AICPA • Member NSCP – National Society for Compliance Professionals • Member BIG – Blockchain Industry Group • Panel speaker and Roundtable discussion leader – Compliance, Fintech, and Audit
1-888-653-2347 
support@leadiq.com 
