DFP Partners brings 20 years of experience to help Investment Advisers navigate AML compliance
Our comprehensive anti-money laundering (AML) compliance consulting services are available to Investment Advisers to ensure compliance with FinCEN’s Final Rule, which requires Investment Advisers to adopt AML compliance programs similar to those of broker-dealers.
Our Certified AML Specialists (CAMS) can facilitate the development of your end-to-end AML compliance program to meet the requirements under the Final Rule, which include:
We can help you develop and implement an internal risk-based AML/Combating the Financing of Terrorism (CFT) compliance program with reasonably designed procedures and controls.
Advice and support in appointing one or more dedicated individuals to oversee the AML program and ensure compliance.
Training and onboarding of your compliance officer(s) to ensure they have the experience required for this vital responsibility.
S.D. Daniels & Co., LLC (“SDDco-LLC”), a subsidiary of DFP Partners, provides independent testing of the AML programs of FINRA member broker-dealers and other financial institutions. SDDco-LLC will tailor the scope of independent testing to your firm’s business model. Once the review is completed, we will provide a written report with findings and recommendations (if applicable).
Deep AML Expertise
We are uniquely positioned to provide both the AML and IA consulting expertise needed to ensure Final Rule compliance. Our expert consultants have conducted over 1,000 AML independent tests and argued in hundreds of regulatory exams on AML issues. We will deliver a customized, efficient and cost-effective process from start to finish.
Whether you need advice or a trusted partner to take over the full scope of AML compliance work, we’ve got you covered.