BD Compliance Associates

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Our Pledge of Customer Service

Hours

Regular Hours

Mon - Fri:	9:00 am - 5:00 pm

Location

We are located east of Atlanta in Lilburn.

Amenities

1. Annual onsite compliance reviews. We follow the same methods used by the SEC and FINRA to determine if any weaknesses or deficiencies exist, and prepare a report outlining suggested corrective action steps. Our review and subsequent reports meet the annual requirement to conduct an AML Review and a Supervisory Review; 2. Supervisory Procedures. Update existing WSP or perform a complete overhaul. We also update Written Supervisory Control Procedures, Business Continuity Plans and AML policies and procedures; 3. Registration and licensing of the firm and/or individuals; 4. Form ADV annual updates; 5. Review and consultation on all customer complaints and/or regulatory requests for information; 6. Review of all advertising and marketing materials such as websites, flyers, newsletters, etc; 7. Review and consultation on financial statements, FOCUS reports and net capital computations. My staff includes two qualified Financial & Operations Principals (including myself).

Associations

Carrie Wisniewski has 30+ years of securities industry experience and has earned her MBA degree in Finance and holds numerous industry designations including Certified Fraud Examiner, Certified Financial Crimes Specialist, Certified Regulatory Compliance ProfessionalTM, Certified Securities Compliance ProfessionalTM and Certified Financial PlannerTM. She also maintains several FINRA licenses including the 4, 7, 24, 27, 28, 53, 63, 79 and 99. Certified WBENC (Women's Business Enterprise)

Other Link

Specializing in regulatory compliance consulting since 1994.

Category

Management Consultants