Greico Compliance Group provides a range of services that will enable your firm to comply with the rules, regulations, and the best practices of the industry. Greico should be your first call and go-to for support, and advice in dealing with the intricacies of rules and regulations created by SEC, FINRA, and other SRO’s.
Let Greico assist your compliance team with:
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The Greico Compliance Review…Minimize Regulatory Risk
Proactive, Preventive, & Remedial A strong customized compliance program is of paramount protection to your firm . The Greico Compliance... - More
Anti Money Laundering Compliance Program (The USA PATRIOT Act of 2001, Bank Secrecy Act, and FINRA Rule 3310)
Anti-Money Laundering Policies and Procedures The USA PATRIOT Act of 2001, Bank Secrecy Act, and FINRA Rule 3310 requires that... - More
ANTI-MONEY LAUNDERING COMPLIANCE PROGRAM (“AML”) INDEPENDENT TEST
FINRA Rule 3310 requires firm’s to conduct annual independent testing of their AML Compliance Programs. Greico can provide independent testing... - More
Written Supervisory Polices and Procedure Manual (WSP’s) FINRA Rule 3010
The Creation and Enhancement of your Written Supervisory Procedures According to FINRA Rule 3010, every broker/dealer is required to create... - More
Annual Compliance Meeting FINRA Rule 3010
Annual Compliance Meeting Creation Implementations and Delivery FINRA Rule 3010 the annual compliance meeting , is a required annual presentation... - More
Continuing Education Requirements FINRA Rule 1250
Since 1995 FINRA has mandated Continuing Education Requirements for all Broker /Dealers and their Registered Representatives. The requirements consist of... - More
Business Continuity Plan (BCP) and Emergency Contact Information FINRA Rule 4370 4370
Business Continuity Planning Creation, Implementations and Maintenance (A) Each member must create and maintain a written business continuity plan identifying... - More
FINRA/SEC/SRO Inquiries
What do you do when your Coordinator or Examiner calls? Call Greico Let Greico help you gather information and prepare... - More
FINRA /SEC/SRO Examinations
What do you do when your Coordinator or Examiner calls and informs you of your upcoming examination? Call Greico Let... - More
Web CRD Administration / U-4 Disclosures
Registrations, Licensing, Electronic Filings Greico Compliance can serve as your in-house registration team at lower costs and higher efficiency. Our... - More
CEO Certification (FINRA Rules 3012 and 3130)
FINRA Rules 3012 and 3130 require Chief Compliance Officers of Broker/Dealers to prepare an annual report detailing their firm’s supervisory... - More
Branch Office Inspections
FINRA requires the inspection of branch office and non branch office locations per FINRA Rule 3010. This rule requires inspections... - More
Membership Services, New Membership, Change of Membership (Filing with FINRA)
FINRA’s New Membership Application and Continuance of/or Change in Membership Application processes are challenging , time consuming and can be... - More
FINOP Locator Services
Greico has an experienced staff and access to a network of professionals with CPA’s and Series 27 who can serve... - More
Registered Investment Adviser Services
Greico can assist your firm’s successful entrance into the Investment Advisory Business. Let Greico’s experience and expertise expand your business...