PRIVATE PLACEMENT BROKER-DEALER SPECIFIC COMPLIANCE
I have worked with many of what I (and FINRA) refer to as “Private Placement Broker-Dealers” over the years. Some also provide M&A advice and conduct what is generally referred to as Investment Banking services. I have therefore had the great opportunity to draft and redraft, and further refine over time, a very efficient and user friendly private placement broker-dealer issuer due diligence compliance program and Written Supervisory Procedures addressing this topic.
I would welcome the opportunity to discuss what I have accomplished in this area with you. If you’re interested in discussing with me what I can do to streamline your broker-dealer’s private placement compliance practices just click here.
Read “Issuer Related Compliance Practices and Procedures” above. After many years of working with Private Placement Broker-Dealers and Investment Banking firms, I have developed an investor suitability compliance program and written supervisory procedures that combined with the procedures respecting issuers above form a fundamentally simple yet compliant supervisory regime that will allow you to stay on top of your broker-dealer’s due diligence and suitability obligations without losing sleep or losing your mind in the process.
I can enlighten you with sensible solutions to your private placement broker-dealer AML and customer identification program (“CIP” or “AML CIP”) requirements as well.
If you’re interested in discussing with me what I can do to streamline your broker-dealer’s private placement compliance practices click here.