In today’s complicated financial landscape, it is of critical importance for institutions that offer broker-dealer services or other investment-related services to be in compliance with the regulations. These institutions typically operate under FINRA and SEC.
FINRA (Financial Industry Regulatory Authority) is an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. It is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers.
SEC (U.S. Securities and Exchange Commission) is the primary overseer and regulator of the U.S. securities markets. It oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. SEC is concerned primarily with promoting the disclosure of important market-related information, maintaining fair dealing, and protecting against fraud.
Regulatory risk has always been one of the top risks of a company whatever industry you are in. LDJ Capital, with its extensive experience in helping clients staying in compliance with the regulations, can help you develop an effective compliance structure. We do so by sharing with our clients strong compliance practices and promote the exchange of communications between our clients and our directors. We believe our Compliance with FINRA and SEC service will add tremendous value to your business.