Start a Broker/Dealer
All you need to know about starting a FINRA registered Broker/Dealer

The Role of Compliance

Robust compliance programs improve business practices and self-regulatory processes within financial organizations. The HedgeCo Legal and Compliance Consulting Group oversees every compliance procedure for you, maintaining adherence to regulatory requirements through implementing:

  • Ongoing monitoring of business transactions and communications

  • Advising, monitoring, and educating the organization in an effort to support self-regulatory (SRO) rules and regulations

  • Providing compliance and regulatory advice to business control units on an ongoing basis

  • Assisting in development of policies, procedures, and guidelines designed to facilitate regulatory compliance

  • Conducting training and education programs designed to keep the organization's member educated on compliance policies and procedures

  • Conducting business unit compliance reviews to identify and minimize potential risks

  • Administration of licensing and registration requirements for registered personnel

  • Facilitate anti-money laundering programs

  • Facilitate a culture of compliance within an organization

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