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• Trusted Anti-Money Laundering Compliance Experts in NY
  Stay ahead of regulatory requirements with expert Anti-Money Laundering compliance services in NY from Quadrant Regulatory Group. Our experienced team provides comprehensive solutions tailored to your business needs, helping you navigate complex regulations with ease. From risk assessments to program development and ongoing support, we are dedicated to safeguarding your organization against financial crime. Trust Quadrant Regulatory Group to deliver reliable, professional, and customized compliance services that protect your business and ensure peace of mind.
  By kevinrights in Public bookmarks with anti-money-laundering-compliance
• Key SEC Examination Priorities for 2025
  Stay ahead in 2025 with insights into the SEC's evolving examination priorities. From fiduciary standards to cybersecurity, explore key focus areas for investment advisers, broker-dealers, clearing agencies, and more. Quadrant highlights the critical updates firms need to know.
  By kevinrights in Public bookmarks with sec-compliance-consulting
• Comprehensive Anti Money Laundering Services in NY and Across the USA
  Self-Regulatory Organizations require broker-dealers to conduct independent testing of their AML Compliance Programs, and Quadrant can provide the required independent testing. We perform a detailed review to test conformity with AML requirements applicable to your firm, including the requirements of FINRA, NFA, CFTC, the SEC, Bank Secrecy Act (BSA) and USA Patriot Act of 2001, Financial Crimes Enforcement Network (FinCEN), and the Office of Foreign Assets Control (OFAC). At the conclusion of the test, we will provide an AML Testing Report detailing the reviews conducted, findings, and recommendations to enhance your AML Compliance Program.
  By kevinrights in Public bookmarks with anti-money-laundering
• Regulatory Notice 24-09: FINRA's Guidance on Generative AI and Large Language Models
  FINRA's notice reinforces that while AI technologies can enhance operational capabilities, they must be used in accordance with existing regulatory standards to ensure continued compliance and investor protection. We encourage firms to contact Quadrant if they encounter uncertainties about applying rules to AI technologies.
  By kevinrights in Public bookmarks with finra-compliance-consultants
• FINRA RSL Update
  Are you looking for updates on the Residential Supervisory Location (RSL) Designation? FINRA recently released an updated FAQ about RSLs. These FAQs offer a quick go-to guide for broker-dealers who want to use the RSL designation. The first day firms may use the RSL designation was June 1, 2024, so the sooner broker-dealers familiarize themselves with the RSL updates, the better prepared they can be to decide whether the RSL designation is appropriate for them and the reporting requirements.
  By kevinrights in Public bookmarks with finra-compliance-services
• Need Compliance Help? We Help Broker-Dealers & Registered Investment Advisers
  It is Quadrant Regulatory Group mission and passion to be well versed with the ever-changing compliance requirements of securities and investment advisory firms. Whether your firm has only one compliance officer or an entire compliance team, our experts can provide you with valuable insight interpreting rules and regulations, industry practices, and more importantly, assisting your broker-dealer or registered investment adviser with implementing a compliance program that complies with applicable rules and regulations.
  By kevinrights in Public bookmarks with broker-dealer-consultants

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