Problem Solving with minimal disruption.

Our AML initiative started shortly after the passage of the PATRIOT ACT. These government mandates placed a new and onerous burden on the individual business owner. Not really very fair but that’s who is always required to take care of everything. Additionally, complying with these myriad requirements takes away from the day to day priorities of business and making money.

 We view our purpose as 4 fold: 1. Listen to the client. 2. Solve the client’s problem. 3. Minimize interrupting regular business and back office process. 4. Ensure adherence to the rules, regulations and laws.

Certainly audits are always inconvenient, that is why we have a strict minimal disruption policy. we aim to resolve matters

 gykugyu. This made them eager to cultivate their own practice, one that would effectively intersect their expertise with their respective interests. They believe that what wins a case and what makes a creative business thrive is the passion that drives it. Choosing to specialize in a field means that you are completely devoted to it; that you will protect it as if it were your own. That is the energy that sets them apart.

AML Reporting & Review’s staff has in excess of a half century of securities industry, CCO, FinOp and CFO experience, our staff is admitted to the Bar in NY and CT, and we hold active series 1, 3, 4, 7, 8, 9, 14, 14a, 24, 25, 27.28, 53, 55, 63, 65, 79 and 99 SEC/FINRA licenses which cover every required qualification to operate any Broker/Dealer.

We offer compliance, internal audit and AML Audit services, our combined staff experience exceeds a century of compliance, trading, operations, retail and institutional and related experience in both regional, NYSE/Amex and major institution operations.

 Our people are free of any negative arbitration claims or findings. As I told you today on the phone our junior most person is close to completing her graduate studies and CPA licensing while our most experienced is now past 80 and has the wisdom all clients can benefit from.

 AML Reporting & Review was started about a decade ago in response to the needs of Broker/Dealers whose owners had reached out to us for help resolving regulatory conflicts. Our team has known or worked with everyone at AML Reporting & Review for even longer, 10+ years for all and 25+ years for two of us, we’re a stable bunch, we like peaceful positive change and aim to handle client's needs (and problems) with a calm resolve, respect and an attention to detail that makes for effective results. Our work is always tailored to the client's actual situation, we interface with ownership and management whenever necessary to ensure expectation and delivery are in alignment. We are happy when our clients are happy.

 I am 100% positive we are the solution to your client's position and look forward to our talking to further explore details so we can quickly make a match as I am fully aware that for them, and by extension for you, time is of the essence.