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FINSEG.COM

Financial Industry, Investment Adviser | Washington, DC

When you need the help of a trusted investment adviser, turn to Financial Industry Service Group LLC ('Finseg') of Washington, DC.

http://www.finseg.com/

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OBRIEN, KAREN

1021 ●●●●●WN LN

OD●●ON , MD, 21113-2233

US

1.30●●●●5253
ko●●●●●@finseg.com

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OBRIEN, KAREN

1021 ●●●●●WN LN

OD●●ON , MD, 21113-2233

US

1.30●●●●5253
ko●●●●●@finseg.com

View this contact

null

OBRIEN, KAREN

1021 ●●●●●WN LN

OD●●ON , MD, 21113-2233

US

1.30●●●●5253
ko●●●●●@finseg.com

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Financial Industry, Investment Adviser | Washington, DC | finseg.com Reviews
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Financial Industry, Investment Adviser | Washington, DC | finseg.com Reviews

https://finseg.com

When you need the help of a trusted investment adviser, turn to Financial Industry Service Group LLC ('Finseg') of Washington, DC.

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finseg.com finseg.com
1

Financial Industry, Investment Adviser | Washington, DC

http://www.finseg.com/index.php

Financial Industry Service Group LLC. Investment Adviser •. Best Execution in the Delivery of Professional Services". Our mission is to offer extensive securities industry expertise, high ethical and professional standards, and well-established business and regulatory relationships to help our clients meet the challenges presented by the dramatic structural, legislative and regulatory changes occurring in the financial services industry. Web Design Services and Domain Registration by Register.com.

2

Financial Industry, Investment Adviser | Washington, DC | Services | New Initiatives

http://www.finseg.com/new-initiatives.php

Investment Adviser •. Web Design Services and Domain Registration by Register.com.

3

Financial Industry, Investment Adviser | Washington, DC | Company History

http://www.finseg.com/company-history.php

Investment Adviser •. At Finseg, we provide high quality professional services economically by keeping our overhead costs low and making maximum use of technology to monitor, research, and communicate efficiently. We have been retained to review and benchmark compliance policies and procedures of retail and institutional financial services firms; to conduct training; and to prepare Congressional testimony on operational and market structure issues.

4

Financial Industry, Investment Adviser | Washington, DC | Services | Compliance

http://www.finseg.com/compliance.php

Investment Adviser •. Compliance: Policies, Supervisory And Internal Control Procedures. Compliance policies, written supervisory procedures and supervisory control procedures are essential elements of any firm compliance program. However, it is effective. Policies and procedures reflecting current. Firm practices, as well as current. Review current firm policies and procedures to determine “gaps” with relevant regulatory requirements;. Determine the effectiveness of firm compliance policies and written ...

5

Financial Industry, Investment Adviser | Washington, DC | Services | AML

http://www.finseg.com/aml.php

Investment Adviser •. Finseg’s experienced professionals have extensive knowledge of anti-money laundering (“AML”) practices and procedures. In addition to our review of AML programs, we have provided expert testimony on AML matters and have participated in training conducted by the SEC and FINRA for their examination staff. Understand the business of the firm through a review of publicly-available information as well as information collected through our Risk Assessment Questionnaire.

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