PyreneesUSA Compliance LLC

FINRA Arbitration Securities Expert & Broker-Dealer-RIA Compliance

FINRA Arbitration Securities Expert & Broker-Dealer-RIA Compliance

FINRA Arbitration Securities Expert & Broker-Dealer-RIA ComplianceFINRA Arbitration Securities Expert & Broker-Dealer-RIA ComplianceFINRA Arbitration Securities Expert & Broker-Dealer-RIA Compliance

Products and Services Content

REGISTRATION AND FILINGS

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  • Formation & Registrations of Firms for IB, FCM and/or Clearing Firm with SEC, CFTC, OCC, FINRA, or U.S. Exchanges
  • Statutory Disqualifications Application & Supervision Plan (FINRA MC400)
  • Guidance on Registration Requirements: Disclosures, Supervision and Waivers Exemptions

AUDITS AND EXAMS

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  • Annual AML Audits
  • Guidance for Red Flags & Surveillance Reviews
  • Main Office Exams
  • Branch Exams
  • Annual Ethics and Compliance Meeting

RISK AND CONTROLS

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  • CFTC - The Risk Management Program (CFTC Rule 1.11)
  • SEC and CFTC - The Risk Assessment and Record Keeping Requirement (SEC Rule 17(h))
  • SEC- Market Access: Risk & Controls (SEC Rule 15c3-5)
  • FINRA - Supervision & Control System (Rules 3110 & 3120)

EXPERT WITNESS/STRATEGIC SERVICES FOR MERGERS, ACQUISITIONS, ARBITRATION AND LAWSUITS

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  • Expert Witness for FINRA or NFA Arbitrations
  • Expert Witness for Legal Claims
  • Expert Witness for Investment Advisor Matters including fiduciary duty
  • Mock FINRA or SEC meetings for Regulatory Preparation

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For additional services not listed, please contact us as this list is not exhaustive.