Detective Agency - Private Investigator - Compliance - Due Dilligence

When Compliance is not an option and Due diligence is mandatory,
Wall Street Detective Services can help prepare you for the mission.

Today's organizations rely on information and technology in practically every facet of their business. As a result, more and more of the information that organizations use to operate their businesses and to comply with laws and regulations exist in electronic rather then in paper form.
Let us not forget there is still the human element.

There are a variety of factors driving this, including:
Heightened scrutiny from Federal and Regulatory agencies
Profound Public Customer and Media awareness
Increasing reliance on electronic information

While the laws and regulations may have evolved to accommodate digital business processes, legal requirements to ensure that electronic records and evidence are secure, authentic, complete, reliable and trustworthy…there are safeguards still necessary.

Written Supervisory Procedures Manuals
Training Plans-Firm Element training, i.e. SEC Rule 3013 for CCO's and CEO Certifications* for Compliance, also Monitoring and Tracking
Anti-Money Laundering Procedures with updates i.e., the Patriot Acts, the Sarbanes-Oxley Act, and RICO Acts etc.
Web CRD Services
FOCUS Prep and Filing
Annual Renewal of Broker Dealer and Representative Registrations
Advertising Review
Net Capital Computation
Compliance Announcements and Correspondence
Fidelity Bond Renewal reminders
NASD Disciplinary Disclosures
Annual Compliance Meeting Templates
Customer Complaints Review and Reporting
Due diligence Investigations for erroneous information and sources
Internal and External employee Investigations for Background to meet Governmental specifications, including Covert operations and Drug testing (Lab or spot Non-Lab).

We offer a free, no obligation consultation to qualified parties, or entities.
Call our office at 800-504-9737, or E-mail: info@wallstreetpi.com.