Comprehensive Compliance Solutions

(212) 751-4422

Contact

We Manage Your Compliance Requirements As If They Are Our Own

Successful management of your compliance program begins with choosing the right partner

For over 40 years, DFP Partners has been a dedicated ally to Broker-Dealers and Registered Investment Advisers (RIAs) looking for compliance services, including fully outsourced Chief Compliance Officer services.

Our consultants’ deep understanding of industry regulations and best practices is based on decades of experience with a diverse range of clients. We bring our expertise, broad perspective, and creative thinking to every challenge you face.

We offer a full suite of customizable compliance services

Outsourced Chief Compliance Officer

We assign qualified professionals to act as your firm’s designated Chief Compliance Officer and administer your compliance program. Our team consists of former regulators, industry compliance experts, lawyers, and FINRA Series 24 Registered Principals.

Broker-Dealer and RIA Compliance Consulting

We provide compliance consulting to Broker-Dealers and RIAs, bolstering your firm’s ongoing compliance with the rules and regulations of the industry. Our offering includes a dedicated Registration Team that has demonstrated expertise in CRD and IARD filings.

Broker-Dealer and Investment Adviser Registration

Our seasoned professionals can facilitate your registration with any state or the SEC, as well as manage your FINRA membership application process. We will build your entire compliance program including all necessary policies and procedures, code of ethics, and business continuity plans.

Anti-Money Laundering Testing

Our CAMS-Certified Specialists provide independent testing of the AML programs of FINRA member Broker-Dealers to satisfy FINRA requirements.

Cybersecurity Compliance

A compliance solution for your cyber-related regulatory challenges, DFP Cybersecurity offers annual penetration testing, an annual risk assessment, cyber procedure development, ongoing email phishing exercises, cyber training, and more.