Capabilities...

Our dedicated staff of professionals has many years of experience in helping broker/dealers and other financial firms in meeting the ever-evolving and highly complex requirements formulated by the SEC, FINRA and other regulatory bodies.
Specifically our practice helps clients navigate the requirements of:

·         FINRA AML Rule 3310

·         USA PATRIOT Act

·         U.S. Treasury Department Rules

·         MSRB Final Rule G-41

Our clients cover the full landscape of financial services including:

• Retail Banks
• Commercial/Wholesale/Merchant Banks
• Investment Banks
• Hedge Funds
• Private Banking/Global Wealth Management
• Insurance Firms
• Broker Dealers
• Clearing Houses
• Asset Management
• Prime Brokerage
• Money Service Business

 Projects...

At SMCI - Regulatory Compliance, our goal is to assist our clients in meeting their regulatory and risk management needs and obligations.
We offer services to our clients that encompass:

• Review of existing Bank Secrecy and USA PATRIOT Act  processes and landscapes

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• Review of existing Anti-Money Laundering requirements

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• Review of existing SEC,  NASDAQ, FINRA and other regulatory body processes and landscapes

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• Review of existing BASEL economic capital and risk profiling processes and landscapes
  

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• Development of Compliance Technology strategies and architectures
  

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• Development of Project Roadmaps, as well as,  Solution Implementations and Management

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• Detailed Requirements Analysis, Design, Implementation and Support of Transactional Monitoring, Investigation and Resolution Systems, Reporting Frameworks and Reporting Solutions.

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