Dodd-Frank Compliance

The Dodd-Frank Wall Street Reform and Consumer Protection Act is one of the most complex pieces of legislation ever drafted. The Financial Services Industry is still in the process of complying with the Act’s many mandates. B&F Capital Markets’ system ensures that you comply with these new financial regulations. Consider your group’s existing protocols for tracking and storing client contact information, then review our checklist to see how we add up:

 

BUSINESS CONDUCT STANDARDS 

 

RECORDKEEPING

 SWAP DATA REPOSITORY (SDR) REPORTING

IDI EXEMPTION TRACKING