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Know Your Customer

Guides customer ID checks and due diligence under FINRA and FinCEN rules.

/know-your-customerJoelLewis/finance_skills

More in Legal & compliance

  • Fee DisclosureChecks whether fee and cost disclosures are complete, accurate, and not misleading.
  • Fiduciary StandardsApplies investment adviser and ERISA fiduciary duties.
  • Gips ComplianceEnsure firms claiming GIPS compliance under the CFA Institute Global Investment.
  • Investment SuitabilityAssess investment suitability obligations under FINRA Rules 2111 and 2090 across all.
  • Post Trade ComplianceDesigns trade surveillance alerts that catch churning, front-running, and cherry-picking.
  • Pre Trade ComplianceDesigns automated checks that validate orders before they execute.
  • Privacy Data SecurityDesign and operate privacy and data security programs for SEC-registered firms under Reg.
  • Private PlacementsAnalyze private placement and exempt offering compliance under Regulation D, the Invest.