Named the #1 leading outsourcing consultant firm for broker-dealers
DFP Partners has 40 years of experience to solve many of the challenges that broker-dealers face including:
DFP Partners is a CPA firm that files all requlatory reports and oversees the Net Capital requirements for your broker-dealer. Every broker-dealer is required to maintain the services of a FINRA Series 27 Financial and Operations Principal (FinOp).
DFP Partners Regulatory Services, LLC provides full-service compliance consulting to broker-dealers seeking FINRA membership application services, ongoing regulatory compliance, consulting and support. With decades of experience, we can also act as your designated Chief Compliance Officer.
Your broker-dealer can also benefit from our independent testing of your Anti-Money Laundering (AML) programs. Our testing professionals are Certified AML Specialists (CAMS) and members of the Association of Certified Anti-Money Laundering Specialists (ACAMS).
FINRA continues to highlight cybersecurity as a top compliance risk to broker-dealers. DFP Partners will help you manage your cybersecurity policies and procedures and administer training to your firm.
DFP Partners is a CPA firm that files all requlatory reports and oversees the Net Capital requirements for your broker-dealer. Every broker-dealer is required to maintain the services of a FINRA Series 27 Financial and Operations Principal (FinOp).
DFP Partners Regulatory Services, LLC provides full-service compliance consulting to broker-dealers seeking FINRA membership application services, ongoing regulatory compliance, consulting and support. With decades of experience, we can also act as your designated Chief Compliance Officer.
Your broker-dealer can also benefit from our independent testing of your Anti-Money Laundering (AML) programs. Our testing professionals are Certified AML Specialists (CAMS) and members of the Association of Certified Anti-Money Laundering Specialists (ACAMS).
FINRA continues to highlight cybersecurity as a top compliance risk to broker-dealers. DFP Partners will help you manage your cybersecurity policies and procedures and administer training to your firm.
Other types of firms we service: