CEOCert360™
FINRA 3130 Audit and Certification
Empowering Leaders, Ensuring Compliance.
CEOCert360™ is a comprehensive service designed for broker-dealers to meet the stringent requirements of FINRA Rule 3130. This rule mandates that the CEO must annually certify that the firm has established processes to establish, maintain, and enforce a system of supervisory controls. CEOCert360™ streamlines this certification process, combining expert consulting, comprehensive audits, and AI-driven tools to ensure your supervisory system is robust and compliant.
Features:
Supervisory Controls Audit: A thorough review of your firm’s supervisory control system to identify weaknesses, address gaps, and document processes.
AI-Enhanced Risk Assessment: Using cutting-edge AI tools, CEOCert360™ identifies potential compliance risks in your processes, ensuring nothing is overlooked.
Comprehensive CEO Report: We provide a tailored CEO report documenting all findings, supervisory control reviews, and action plans.
Annual Certification Preparation: Assistance in drafting and preparing the CEO’s annual certification per FINRA Rule 3130.
Flat Fee Pricing: Transparent, flat-fee pricing for the entire audit and certification process, avoiding hourly rates.
Key Benefits:
Simplified Process: Streamline compliance with FINRA 3130, reducing the administrative burden on CEOs.
Expert Insights: Gain access to GiGCXOs' team of seasoned experts who specialize in regulatory compliance.
Advanced Technology: Leverage AI tools to ensure a thorough and accurate review of your supervisory controls.
Peace of Mind: Ensure full compliance and mitigate the risk of regulatory fines or enforcement actions.
What's Included?
Expert comprehensive audit and certification preparation:
Seasoned Fractional compliance resources with Series 24 FINRA license with at least 15 years of experience.
Assess and audit your firm's compliance with FINRA 3130.
FINRA 3130 Audit and Certification.
One-time fee includes one (1) annual FINRA 3130 audit, preparation, and certification based on the type of firm.
Please refer to:
FINRA 3130 Audit and Certification
Empowering Leaders, Ensuring Compliance.
CEOCert360™ is a comprehensive service designed for broker-dealers to meet the stringent requirements of FINRA Rule 3130. This rule mandates that the CEO must annually certify that the firm has established processes to establish, maintain, and enforce a system of supervisory controls. CEOCert360™ streamlines this certification process, combining expert consulting, comprehensive audits, and AI-driven tools to ensure your supervisory system is robust and compliant.
Features:
Supervisory Controls Audit: A thorough review of your firm’s supervisory control system to identify weaknesses, address gaps, and document processes.
AI-Enhanced Risk Assessment: Using cutting-edge AI tools, CEOCert360™ identifies potential compliance risks in your processes, ensuring nothing is overlooked.
Comprehensive CEO Report: We provide a tailored CEO report documenting all findings, supervisory control reviews, and action plans.
Annual Certification Preparation: Assistance in drafting and preparing the CEO’s annual certification per FINRA Rule 3130.
Flat Fee Pricing: Transparent, flat-fee pricing for the entire audit and certification process, avoiding hourly rates.
Key Benefits:
Simplified Process: Streamline compliance with FINRA 3130, reducing the administrative burden on CEOs.
Expert Insights: Gain access to GiGCXOs' team of seasoned experts who specialize in regulatory compliance.
Advanced Technology: Leverage AI tools to ensure a thorough and accurate review of your supervisory controls.
Peace of Mind: Ensure full compliance and mitigate the risk of regulatory fines or enforcement actions.
What's Included?
Expert comprehensive audit and certification preparation:
Seasoned Fractional compliance resources with Series 24 FINRA license with at least 15 years of experience.
Assess and audit your firm's compliance with FINRA 3130.
FINRA 3130 Audit and Certification.
One-time fee includes one (1) annual FINRA 3130 audit, preparation, and certification based on the type of firm.
Please refer to:
FINRA 3130 Audit and Certification
Empowering Leaders, Ensuring Compliance.
CEOCert360™ is a comprehensive service designed for broker-dealers to meet the stringent requirements of FINRA Rule 3130. This rule mandates that the CEO must annually certify that the firm has established processes to establish, maintain, and enforce a system of supervisory controls. CEOCert360™ streamlines this certification process, combining expert consulting, comprehensive audits, and AI-driven tools to ensure your supervisory system is robust and compliant.
Features:
Supervisory Controls Audit: A thorough review of your firm’s supervisory control system to identify weaknesses, address gaps, and document processes.
AI-Enhanced Risk Assessment: Using cutting-edge AI tools, CEOCert360™ identifies potential compliance risks in your processes, ensuring nothing is overlooked.
Comprehensive CEO Report: We provide a tailored CEO report documenting all findings, supervisory control reviews, and action plans.
Annual Certification Preparation: Assistance in drafting and preparing the CEO’s annual certification per FINRA Rule 3130.
Flat Fee Pricing: Transparent, flat-fee pricing for the entire audit and certification process, avoiding hourly rates.
Key Benefits:
Simplified Process: Streamline compliance with FINRA 3130, reducing the administrative burden on CEOs.
Expert Insights: Gain access to GiGCXOs' team of seasoned experts who specialize in regulatory compliance.
Advanced Technology: Leverage AI tools to ensure a thorough and accurate review of your supervisory controls.
Peace of Mind: Ensure full compliance and mitigate the risk of regulatory fines or enforcement actions.
What's Included?
Expert comprehensive audit and certification preparation:
Seasoned Fractional compliance resources with Series 24 FINRA license with at least 15 years of experience.
Assess and audit your firm's compliance with FINRA 3130.
FINRA 3130 Audit and Certification.
One-time fee includes one (1) annual FINRA 3130 audit, preparation, and certification based on the type of firm.
Please refer to:
