Broker-dealers (BDs) are some of the most heavily regulated and scrutinized businesses. Rob Moses has deep and broad experience in the legal, compliance, supervisory, regulatory and employment facets BDs face, with the skill and knowledge to improve your BDs growth and ongoing operations. Rob’s relevant BD experience includes:
- BD Audits
- BD Compliance
- BD Formation
- BD Clearing Agreements
- BD Code of Ethics
- BD Compliance Manuals
- BD Contracts
- BD Directors and Officers (D&O) Insurance BD Disclosures
- BD Due Diligence
- BD Errors and Omissions (E&O) Insurance
- BD Fidelity Bonds
- BD Forms BD, U4, U5
- BD Human Resources
- BD Marketing Review
- BD Mergers and Acquisitions
- BD Registration
- BD Registered Representative Matters (Employment and Independent Contractor Issues)
- BD Regulatory Matters
- BD Supervision
- BD Written Supervisory Policies and Procedures
