?????? ???????? ???? ???????????????????? ???????????????????? ???????????????????? ???? ???????????????????? ?????????????? ?????????????????????? For financial institutions, navigating complex financial regulations is more challenging than ever. The SEC and Self Regulatory Organizations such FINRA and NFA continuously update their regulatory framework, requiring firms to stay ahead of evolving compliance requirements. Without a clear strategy, firms risk enforcement actions, reputational damage, and operational disruptions. https://lnkd.in/e7_j4rBG
关于我们
Quadrant Regulatory Group provides services that support compliance with SEC, FINRA, MSRB, and state securities law. Our services include, but are not limited to, FINOP and accounting support, compliance program development, risk assessments and testing, policy and procedure development, regulatory exam preparation, and ongoing compliance monitoring. Our team of experts has a deep understanding of the regulatory landscape, and we stay up to date on the latest changes and developments to ensure that our clients are always ahead of the curve. With our help, you can rest assured that your organization is fully compliant with all relevant regulations and can focus on your core business priorities.
- 网站
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https://www.quadrantregulatory.com
Quadrant Regulatory Group的外部链接
- 所属行业
- 金融服务
- 规模
- 2-10 人
- 总部
- New York，NY
- 类型
- 私人持股
- 创立
- 2011
- 领域
- Compliance Consulting、Supervisory Controls Testing、Membership Applications、Annual Rule 206 Reviews、FinOp and Accounting、Annual Compliance Meeting、Anti-Money Laundering Tests、Compliance Training、Investment Adviser Consulting、CRD、BCP、NMA、CMA、WSP、3120、AML、FINOP和15c3-1
地点
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主要
获取路线
122 E 42nd St
Suite 2902
US，NY，New York，10168
Quadrant Regulatory Group员工
动态
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?????????????????? ?????? ???????????????????? ???? ????????: ???????????????? ???????????????????? & ???????????? ???????? ????????’?? ???????????? Navigating SEC compliance in 2025 is becoming more complex as regulatory scrutiny intensifies and expectations evolve. Whether you’re an investment adviser, broker-dealer, or financial institution, staying compliant requires a proactive approach to risk management, cybersecurity, financial reporting, and audit preparation. https://lnkd.in/euFXPf98
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?????????????????? ?????? ???????????????????? ???? ????????: ???????????????? ???????????????????? & ???????????? ???????? ????????’?? ???????????? Navigating SEC compliance in 2025 is becoming more complex as regulatory scrutiny intensifies and expectations evolve. Whether you’re an investment adviser, broker-dealer, or financial institution, staying compliant requires a proactive approach to risk management, cybersecurity, financial reporting, and audit preparation. https://lnkd.in/euFXPf98
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?????? ???????? ???? ???????????????????? ???????????????????? ???????????????????? ???? ???????????????????? ?????????????? ?????????????????????? For financial institutions, navigating complex financial regulations is more challenging than ever. The SEC and Self Regulatory Organizations such FINRA and NFA continuously update their regulatory framework, requiring firms to stay ahead of evolving compliance requirements. Without a clear strategy, firms risk enforcement actions, reputational damage, and operational disruptions. https://lnkd.in/e7_j4rBG
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The 2025 FINRA Annual Regulatory Oversight Report identifies critical compliance priorities and emerging risks that broker-dealers, investment advisers, and financial institutions must address to stay compliant. To maintain compliance in this evolving landscape, firms must proactively strengthen their frameworks to address the latest FINRA updates and mitigate potential risks. learn more here: https://lnkd.in/emtw__Dm
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?? Important Alert for FINRA Member Firms!??? ? On October 9, 2024, FINRA issued a warning about an ongoing phishing campaign targeting member firms. ?Fraudulent emails pretending to be from FINRA executives have started circulating, some even containing suspicious PDF attachments. ? What You Need to Do: Delete any suspicious emails. Consider blocking the associated domains. Stay vigilant and protect your firm from these scams! If you have any questions relating to this notice or any other regulatory notices, please contact Quadrant Regulatory Group or visit our website located at FINRA Compliance Services NY, Regulatory Compliance Consulting Firm New York (quadrantregulatory.com) The FINRA Notice can be found at https://lnkd.in/gnpHkpaJ
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This final rule adds certain registered investment advisers (RIAs) and exempt reporting advisers (ERAs) to the definition of “financial institution” under the regulations that implement the Bank Secrecy Act (BSA).
As part of ongoing efforts to combat money laundering and protect U.S. national security, FinCEN has issued two rules to help safeguard the residential real estate and investment adviser sectors from illicit finance. https://lnkd.in/d8vxZwgQ