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Let DSA Perform Your Independent AML Review
- True Independence - Use DSA's consultants to avoid one of FINRA's most frequently cited problems with AML reviews – the lack of independence by internal reviewers.
- AML Expertise – Let the Certified Anti Money Laundering Specialist (CAMS) at DSA do what they do best while your employees focus on their regular job duties.
- Broker/Dealer Regulatory Experience – DSA's consultants are former securities regulators and are knowledgeable about what regulators are looking for.
- AML reviews tailored to your business model – DSA will tailor the AML audit to your firm's risks and business model, whether a small investment bank or a regional broker/dealer.
- Fully documented written report of the AML review – DSA will provide a fully documented report that will meet FINRA guidelines.
Contact us today for a free estimate.
Phone: (813) 994-3340
E-mail: info@securitiesanalytics.com
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