NASD Rule 3011 requires most broker/dealers to perform annual independent testing for compliance with anti-money laundering (AML) rules and regulations. Certain firms qualify for the independent testing to occur every two years instead of every year. BDCA can provide an AML expert to independently test all of your policies and procedures to ensure compliance with all aspects of AML rules and regulations. We will conduct the examination, interview appropriate personnel, present our findings in a written report and recommend corrective actions. BDCA can use an AML audit module that you have designed or we can provide an audit module to use that is customized to fit he needs of your firm.
Please call us at (770) 263-6003 to find out how we can help you with AML independent testing needs.