Ongoing Broker / Dealer Compliance Services

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Maintaining FINRA compliance requires constant vigilance and expertise. Aliso Solutions provides comprehensive support to your Chief Compliance Officer and compliance team, allowing your firm to focus on core business operations while maintaining robust regulatory compliance.

Our supervisory and surveillance programs encompass comprehensive branch office audits, continuous maintenance of Written Supervisory Procedures, and thorough oversight of electronic communications including email and social media. We manage personal trading surveillance, review advertising and marketing materials, monitor outside business activities, and handle customer complaint resolution with meticulous attention to detail.

As part of our core services, we conduct required testing and reviews including annual compliance meetings, mock regulatory examinations, and independent AML testing. Our team ensures your business continuity plans remain current, privacy policies are properly implemented, and due diligence reviews are thorough and well-documented.

Our registration and regulatory support covers all aspects of Form BD maintenance, representative registration services, and regulatory filing management. When regulatory examinations arise, we provide comprehensive preparation and support, including assistance with regulatory inquiries and ongoing management of continuing education requirements.

Our experienced team becomes an extension of your compliance department, providing both routine oversight and specialized expertise when needed. We adapt our services to your firm's specific business model and regulatory requirements, ensuring comprehensive compliance coverage while maintaining operational efficiency.