Regulatory Filings
We are equipped to assist with the various filing requirements of regulatory agencies for Broker/Dealers such as the Financial Industry Regulatory Authority (FINRA). The services we offers include preparation and electronic filing of monthly and quarterly FOCUS reports, computation of Aggregate Indebtedness and Minimum Net Capital Requirements subject to Rule 15c3, and other financial reporting/filing as necessary for regulatory compliance.
AML/KYC Compliance
Our position as fund administrators and our expertise with related regulatory compliance allows G&S Fund Services to handle anti-money laundering and know your client regulations. We provide the necessary operational procedures to satisfy SEC guidelines and present you with a cost-efficient and time-saving solution.
