Mandated or Stipulated Consultancies

Mandatory Consultancies B/D Solutions has an experienced staff of professionals available when the regulators mandate the use of independent consultants as a remedy.

Many times, a practical solution to a regulatory problem is to offer a settlement that engages a competent consulting firm. This offers a beneficial service to Broker/Dealers aiding their compliance efforts, instead of them simply paying fines and penalties.

In such situations, we work closely with the Broker/Dealer and the regulators to ensure all areas of concern are properly addressed. Our focus is to provide realistic recommendations on how to create and implement long-term solutions, such as:

Engineer solutions to meet FINRA, SEC and State mandates
Advise on regulatory settlement negotiations
Implement remedial training programs
Liaison with state and federal regulators