Broker-Dealer Services

Evans & Kob was founded by former executives, chief compliance officers and general counsel to FINRA member broker-dealers and that experience translates into highly skilled and efficient broker-dealer advisory services, including formation and transfer, regulatory inquiry and complaint response and compliance assessment.

bdas-1Our broker-dealer practice is more than just defense – our services are designed to be pro-active, such as business planning, including regulatory advice, advice on new aspects of a business mix, ongoing regulatory and corporate compliance. Those services include reviews and audits of internal procedures such as order handling, compliance department function, compliance and supervisory procedures and manuals and advice on trading-related compliance issues.

Many small and mid-size brokerage firms and investment advisors simply cannot afford a full time compliance officer and a full time general counsel. For certain firms, we may act as the firm’s external or contractual general counsel and compliance department. From initial applications to full time compliance and regulatory reviews, our firm has the proven ability and experience to handle all aspect of broker-dealer law and compliance in an efficient and cost effective manner.

 

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Common Services
  • Formation – New Member Application
  • Training Program Development
  • Selling Agreements
  • Broker-Dealer Compliance Assessment
  • Independent AML Audits
  • Written Supervisory Procedures
  • Client Agreements Disclosure Documentation
  • Due Diligence (Third Party Services Providers, Issuers, Money Managers)

If you wish to speak with an attorney about your needs and questions in any of these areas, please contact us at info@eklawpc.com.

Interested in our services? We would appreciate hearing from you!