Welcome to CAFA Compliance & FINOP Advisory!
ComplianceAFAComplianceAFAComplianceAFA
+1(516) 286-5064
charles@complianceafa.com
New York, United States
ComplianceAFAComplianceAFAComplianceAFA
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Services

Regulatory Compliance

We give the best Services Navigating today’s complex regulatory environment is critical for the success and protection of any financial firm. Our Regulatory Compliance service is designed to help broker-dealers, investment advisors, and financial institutions meet the stringent requirements set by regulators such as FINRA, SEC, and other governing bodies.…
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FINOP Advisory

We give the best Services Every broker-dealer is required by FINRA Rule 1220(a)(4) to designate a Financial and Operations Principal (FINOP) who ensures the firm’s financial and regulatory responsibilities are met. Our FINOP Advisory service provides the expertise and guidance your firm needs to stay compliant, financially sound, and prepared…
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13 Nov 19

Broker-dealer Compliance

We give the best Services Operating as a broker-dealer in today’s regulatory environment requires strict adherence to SEC, FINRA, and other governing body requirements. Our Broker-Dealer Compliance service is designed to help firms maintain full compliance while minimizing risk and operational disruption. We partner with your compliance team to ensure…
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13 Nov 19

Outsourced CCO

We give the best Services A strong compliance program requires experienced leadership — but hiring a full-time Chief Compliance Officer can be costly and difficult to staff. Our Outsourced CCO service gives your firm access to senior-level compliance expertise without the overhead of an in-house executive. We act as your…
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13 Nov 19

New Members Application

We give the best Services Becoming a FINRA-registered broker-dealer is a complex process that requires detailed preparation, accurate filings, and ongoing communication with regulators. Our New Member Application (NMA) service helps firms successfully navigate the FINRA membership process from start to finish. We work closely with your leadership team to…
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We understand the importance of approaching each work integrally and believe in the power of simple.

Melbourne, Australia
(Sat - Thursday)
(10am - 05 pm)
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