History
Since 1984, RND Resources has dedicated its practice to the development, compliance, operations and maintenance of business of Securities Broker Dealers, Registered Investment Advisors and Hedge Funds.
Specialties
Specialists in regulatory compliance for Broker Dealers, Registered Investment Advisers, FCM, Hedge Funds, CTA's, Banks and Insurance agencies. Provide for outsourced Chief Compliance Officer and Inhouse CCO support compliance programs encompassing: a. Accounting, FOCUS, Schedule I , regulatory reporting and communication with regulators on GAAP and GAAS. b. PCAOB registered CPA's to provide for certified audit, Custody examination and SAS 70 engagements c. Firm element of CE, including CE design. Annual compliance meetings d. CRD and IARD administration e. BD, RIA registration and state licensing f. Part time FINOP and GSP leasing g. ADV maintenance, Part 2A and 2B design and maintenance h. Maintenance of procedures manuals, code of ethics i. Regulatory exam administration by SEC, FINRA j. Annual review of compliance. k. Risk Management l. Branch examinations m. Materiality consult (FINRA). SEC and FINRA no action letters and more...