FINOP Services
  • Register a senior representative as your Financial and Operations Principal
  • File Focus Reports (monthly and/or quarterly) and Net Capital Computation
  • Prepare annual Schedule I filing
  • File SSOI
  • File SIS
  • Review Trading activity Breaks and Errors
  • Customer Unsecured debits
   Compliance
  • Annual AML Audit
  • Written Supervisory Procedures
  • Perform Compliance audit as required for Rule 3120, 3130 and annual CEO certification
  • CMA Rule 1017
  • Membership Application Process
  • Review State, FINRA and SEC inquiries
  • Conduct branch Audit and annual meetings
  • BCP (business continuity plans) create, implement and update
  • CE continuing education: create and administer firm element
  • CE regulatory element administration
   Chief Compliance Officer
  • Register a senior representative as your Chief Compliance Officer
  • Perform AML check for new accounts
  • Review and supervise Email
  • Review and approve advertising and correspondence
  • Review employee accounts & daily trading
  • Review instances of insider trading activity
   SRO Audit Preparation
  • ​Review relevant books and records
  • Examine key business practices
  • Suggest improvements to procedures and practices
  • Inform senior management of audit requirements
  • Implement accepted recommendations
  • Organize physical books & records and related files
  • Be on-site for FINRA exam
Accounting
   Controller/CFO Services
  • Set up and selection of accounting software
  • Chart of accounts set up
  • Internal Control Procedures
  • Trial Balance
  • Statement of Income
  • Statement of Financial Condition
   Bookkeeping Services
  • General Ledger
  • General Ledger account reconciliation
  • Reconcile Bank and Clearing Firm Statements
  • Produce Income & Expense Statements
  • Coordinate Annual Audit with your Auditors
  • Accounts Payable
  • Accounts Receivable

CONTACT US

email
emccabe@arc-sysllc.com
​info@arc-sysllc.com
phone
732.713.5023
address
PO Box 125
Middletown, NJ 07748
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