csgllc.org
AML Independent Testing - CSG
http://csgllc.org/services/aml-independent-testing
RIA Registration & Compliance. RIA Registration & Compliance. The USA PATRIOT Act and FINRA require that broker-dealers conduct an annual independent testing of their Anti-Money Laundering Compliance Program to ensure that all regulatory requirements are being met. CSG consultants hold the prestigious CAMS* designation. The review and testing of the firm’s AML Written Supervisory Procedures and Polices. The review of the broker-dealer’s check and/or security logs. Regulatory efforts to fight money launde...
csgllc.org
FINOP / Accounting - CSG
http://csgllc.org/services/finop-accounting
RIA Registration & Compliance. RIA Registration & Compliance. CSG can handle bookkeeping/accounting, regulatory reporting and FINOP responsibilities, allowing a firm to focus on its revenue generating activities. CSG consultants not only hold the required FINRA qualifications, but have have the hands-on experience needed to maintain a firm’s books. In addition, CSG works with licensed CPAs to ensure that all work is GAAP compliant as well. Completion of Financial Statements. CEO / Broker-Dealer Client.
csgllc.org
RIA Registration & Compliance - CSG
http://csgllc.org/services/investment-adviser-compliance
RIA Registration & Compliance. RIA Registration & Compliance. RIA Registration & Compliance. CSG can handle as little or as much as you need. Services offered by CSG include (but are not limited to):. Written Supervisory Procedures Manual (Draft, implement and maintain/update manual). Review and/or Completion of Form ADV Part 1. Review and/or Completion of Form ADV Part 2 in Plain English . Mock Compliance Examination Gap Analysis. Form ADV Annual Review and Updating (Amendment Filings).
csgllc.org
About Us - CSG
http://csgllc.org/about-us
RIA Registration & Compliance. RIA Registration & Compliance. Since its inception CSG has been providing customized compliance solutions that not only meet the needs of its clients, but exceed the expectations of its clients. Carol Shortall, CAMS, is the founder and Managing Member and Chief Financial Officer of. Compliance Solutions Group, LLC. Ara Jabrayan, CAMS. Is the head of the Investment Adviser Department at Compliance Solutions Group, LLC. Mr. Jabrayan is also the founder of RIA Complian...Mr Ja...
csgllc.org
Broker-Dealer Compliance - CSG
http://csgllc.org/services/broker-dealer-compliance
RIA Registration & Compliance. RIA Registration & Compliance. Provides compliance products and services that are customized to meet the specific needs of a broker-dealer. CSG has the expertise. To design compliance solutions that not only enhance your business, but promote efficiency while allowing your firm to focus on its business activities and bottom line. CSG can handle as little or as much as you need. Services offered by CSG include (but are not limited to):. Written Supervisory Procedures Manual.