B/D Compliance Associates, Inc. (BDCA) provides broker/dealer and registered investment advisor regulatory compliance consulting to both existing and start-up operations. Founded by Carrie Wisniewski in 1994, a former FINRA Senior Examiner, the associates of our firm all have practical street experience, and some also have direct regulatory experience.
Compliance implements supervisory policies & procedures
Careful and helpful training for all staff on procedures.
Registration with government and regulatory agencies.
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