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.
"Carrie and her colleagues have a well planned process and the report was very detailed. We hope to work with B/D Compliance Associates, Inc. again."
Compliance Officer, Vice President
BBVA Capital Markets, Inc.
"B/D Compliance Associates, Inc. does a wonderful job and is uniquely suited for small and mid-sized BDs without in-house compliance resources.”
President, MuniDirect.com, Inc.