PROJECT & AUDIT SERVICES

PROJECT & AUDIT SERVICES

In addition to delivering ongoing compliance solutions to a broad range of financial services firms, ARG also offers a comprehensive suite of services tailored to firm-specific audit and project-based needs. Our experienced professionals have successfully partnered with numerous firms to ensure audit requirements are fully met and regulatory expectations are exceeded. With a deep understanding of industry regulations and best practices, our team is well-equipped to identify potential risks and compliance gaps through targeted project work.

 

  • ANTI-MONEY LAUNDERING INDEPENDENT TESTING (FINRA RULE 3310)

  • SUPERVISORY CONTROL REVIEW TESTING (FINRA RULE 3120)

  • RIA ANNUAL REVIEW (RULE 206(4)-7)

  • MOCK SEC AUDIT

  • BRANCH OFFICE INSPECTIONS

  • FINRA NEW MEMBERSHIP APP (FORM NMA)

  • FINRA CONTINUING MEMBERSHIP APP (FORM CMA)

  • FINRA MATERIALITY CONSULTATIONS (MATCON)

  • INFORMATION SECURITY PLAN DEVELOPMENT AND TESTING

  • BUSINESS CONTINUITY PLAN DEVELOPMENT AND TESTING

  • STATE REGULATORY FILINGS

  • RISK ASSESSMENT

  • GAP ANALYSIS

  • CYBERSECURITY POLICY & CONTROL INSPECTIONS