Welcome to Consult DA

Consult DA specializes in providing skilled consulting services to the securities industry. We offer comprehensive hands-on consulting services in FINRA compliance, SEC compliance, regulatory audits, broker-dealer and RIA registration, back-office and accounting.

Anti-Money Laundering (AML) Compliance

  • Comply with FINCEN, FINRA and SEC rules and guidance.
  • Design and implement AML procedures and systems tailored to your business lines.
  • Provide guidance on following up on suspicious activity and filing SARs.
  • Manage AML issues for stock liquidations, foreign customers and subaccounts.
  • Review and revise AML procedures and controls.

Broker-Dealer Compliance

  • Design and implement policies and procedures, and control systems for broker-dealers.
  • manage and interact with SEC and FINRA during regulatory examinations.
  • Assist broker-dealers in responding to regulatory requests.
  • Assist CCO in designing supervisory procedures and systems covering firm business areas.
  • Audit sufficiency of procedures and controls.
  • Assist firms to register as broker-dealers and become FINRA members in MAP applications.
  • Make regulatory filings.
  • Conduct internal investigations.
  • Conduct new product and due diligence reviews.
  • Social Media and Advertising Review.
  • Investigate and prepare response to customer complaints.
  • Outside business activities and private securities transactions.
  • Provide training, including training at annual compliance meeting.
  • help vet hiring of CCOs and AMLCOs, conduct background examination of registered representatives.

Investment Advisor, Hedge Fund and Family Office Compliance

  • Design and implement policies and procedures, and control systems for investment advisers and hedge funds.
  • Manage and interact with SEC or state regulatory authorities during regulatory examinations.
  • Audit adequacy of written procedures and controls.
  • Identify and manage conflicts of interests.
  • Conduct internal investigations.
  • Form ADV filings and amendments.