Founded in 1999, B/D Compliance Associates, Inc. (B/DCA) provides comprehensive compliance, registration, and consulting services to securities firms. The company assists a wide range of clients, from startups to established firms, in navigating the complex regulatory landscapes of the SEC and FINRA. Their services include new firm registrations, development of written supervisory procedures (WSPs), ongoing compliance support, anti-money laundering (AML) independent testing, and regulatory exam preparation.

Founded in

United States