Problem Solving with minimal disruption.

AML initiatives started with the passage of the USA PATRIOT Act. These government mandates placed a new and onerous burden on the individual business owner. In over 20+ years under both Republican and Democrat administrations these rules have not just remained in effect they have been periodically ‘tweaked’ to increase their scope.   Complying (or more accurately, attempting to comply) with these myriad requirements takes away from the day to day priorities of business and serving clients. But that is not the concern of federal, state or agency regulator/bureaucrats who always aim to require tax paying individuals and entities to shoulder the burden – be it financial, policy  or public interest.

Our method is simple 1. Listen to the client. 2. Solve the client’s problem. 3. Minimize interrupting regular business and back-office process. 4. Along the way ensure adherence to the rules, regulations and laws. We have come to view our compliance process as not unlike those of medical field – nobody wants to go to the doctor until it’s serious, so once we meet you we know it may be a rush and you could be a bit concerned, you can relax, we’ll be ready and know we follow that same - first do no harm standard.

Member firms face annual or semi annual AML Audit requirements and to drag the medical analogy further along we might note that getting regular checkups can be the key to avoiding serious issues in the future. Certainly, audits are always inconvenient, that is why we have a strict minimal disruption policy. we aim to locate exposures, resolve them and refine policy to prevent reoccurrence. We want you, not your regulators, to be able to focus on your business.

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 contractor’s experience covers compliance, trading, operations, retail and institutional and related experience in both regional, NYSE/Amex and major institution operations.

All staff are free of any negative legal, regulatory, or arbitration claims or findings. We are aged from 30 to mid 80s giving us key exposure to the events and people all clients can benefit from. Our founding entity, Reporting & Review was started over a decade ago in response to the needs of NYSE floor firms, DMMs (Specialists) and FINRA (formerly NASD) Broker/Dealers whose owners had reached out for help resolving regulatory conflicts. Over time we have come to view that term ‘conflict’ in a different light, of course it is always - vanquish the opposition but the method has evolved; there is no need for credit, no need to be seen even, we are about stability, 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 expectations and delivery are in alignment. We are happy when our clients are happy.

For those representing others, know we are 100% positive we are the solution to your or your client's needs and look forward to exploring details so we can quickly make a difference, as we are fully aware that for you, and by extension for them, time is of the essence.

Please view our team for details on our skills and Contact Us to direct your communication.