FINRA & SEC Compliance
Kaufman Rossin’s dedicated financial services team includes former Financial Industry Regulatory Authority (FINRA) regulators who have supervised FINRA’s national anti-money laundering examination team, led a broker-dealer’s anti-money-laundering (AML) department and trained financial services professionals on numerous regulatory issues.
We can help broker-dealers, registered investment advisers and hedge fund managers navigate FINRA and Security and Exchange Commission (SEC) examinations and stay in compliance with these regulators.
Our services include:
- Annual risk-based anti-money laundering program review/assessment (FINRA Rule 3310)
- Supervisory Controls Assessment (FINRA 3120)
- Annual compliance program review (SEC Rule 206(4)-7)
- Regulation Best Interest (Reg BI) and Form CRS compliance
- Assist with responses to FINRA, state and SEC examination requests
- Offsite and onsite assistance with FINRA regulatory inquiries
- Assist an applicant with its New Membership Application (NMA) to become a FINRA member
- Assist the firm with the completion and submission of a Continuing Membership Application (CMA)
- Assist hedge fund managers in complying with SEC registration and obligations
- Compliance training and education
- Litigation consulting
- On-the-record testimony preparation
- Mock regulatory exams
- Conduct branch examinations
- Assist with ongoing updates of the firm’s written supervisory procedures manual
- Independent investigations into potential sales practice violations
Our Professionals





Bao Nguyen, CAMS, CFE, CRCP
Practice Leader, Principal – Investment Leader, Risk Advisory Services
Boca Raton
Bao Nguyen is a Principal in the Risk Advisory Services practice and co-leader of the Investment Industry practice at Kaufman Rossin. As a leader, his expertise focuses on recognizing and assessing compliance risks for broker-dealers, registered investment advisers (RIA), and private funds.
Bao …
Stephanie Richards, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
As a director in Kaufman Rossin’s Risk Advisory Services practice, Stephanie Richards cultivates strategic compliance solutions for broker-dealers and registered investments advisers. With her advanced knowledge and understanding of financial markets, industry regulations and compliance requiremen…
Alex Egan, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
Alex Egan is a director within Kaufman Rossin's Risk Advisory Services practice, where he leads a team of advisors assisting financial services clients with complex business and regulatory risks.
He brings over a decade of experience in governmental and regulatory compliance environment…
Lisa Reid, CAMS, CFE
Senior Manager, Risk Advisory Services
Boca Raton
Lisa Reid is a Senior Manager in Kaufman Rossin’s Risk Advisory Services practice. She helps clients mitigate risks by advising broker-dealers and investment advisers on various quality assurance, risk advisory, industry regulations, and compliance requirements. Lisa advises on anti-money launderi…
Scott Demar
Senior Manager, Risk Advisory Services
Scott Demar is a Senior Manager within Kaufman Rossin’s Risk Advisory Services practice, where he works with a team of consultants to assist financial services clients with complex business and regulatory risks. He brings over a decade of experience in regulatory compliance, having spent more than…





Bao Nguyen, CAMS, CFE, CRCP
Practice Leader, Principal – Investment Leader, Risk Advisory Services
Boca Raton
Bao Nguyen is a Principal in the Risk Advisory Services practice and co-leader of the Investment Industry practice at Kaufman Rossin. As a leader, his expertise focuses on recognizing and assessing compliance risks for broker-dealers, registered investment advisers (RIA), and private funds.
Bao …
Stephanie Richards, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
As a director in Kaufman Rossin’s Risk Advisory Services practice, Stephanie Richards cultivates strategic compliance solutions for broker-dealers and registered investments advisers. With her advanced knowledge and understanding of financial markets, industry regulations and compliance requiremen…
Alex Egan, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
Alex Egan is a director within Kaufman Rossin's Risk Advisory Services practice, where he leads a team of advisors assisting financial services clients with complex business and regulatory risks.
He brings over a decade of experience in governmental and regulatory compliance environment…
Lisa Reid, CAMS, CFE
Senior Manager, Risk Advisory Services
Boca Raton
Lisa Reid is a Senior Manager in Kaufman Rossin’s Risk Advisory Services practice. She helps clients mitigate risks by advising broker-dealers and investment advisers on various quality assurance, risk advisory, industry regulations, and compliance requirements. Lisa advises on anti-money launderi…
Scott Demar
Senior Manager, Risk Advisory Services
Scott Demar is a Senior Manager within Kaufman Rossin’s Risk Advisory Services practice, where he works with a team of consultants to assist financial services clients with complex business and regulatory risks. He brings over a decade of experience in regulatory compliance, having spent more than…





Bao Nguyen, CAMS, CFE, CRCP
Practice Leader, Principal – Investment Leader, Risk Advisory Services
Boca Raton
Bao Nguyen is a Principal in the Risk Advisory Services practice and co-leader of the Investment Industry practice at Kaufman Rossin. As a leader, his expertise focuses on recognizing and assessing compliance risks for broker-dealers, registered investment advisers (RIA), and private funds.
Bao …
Stephanie Richards, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
As a director in Kaufman Rossin’s Risk Advisory Services practice, Stephanie Richards cultivates strategic compliance solutions for broker-dealers and registered investments advisers. With her advanced knowledge and understanding of financial markets, industry regulations and compliance requiremen…
Alex Egan, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
Alex Egan is a director within Kaufman Rossin's Risk Advisory Services practice, where he leads a team of advisors assisting financial services clients with complex business and regulatory risks.
He brings over a decade of experience in governmental and regulatory compliance environment…
Lisa Reid, CAMS, CFE
Senior Manager, Risk Advisory Services
Boca Raton
Lisa Reid is a Senior Manager in Kaufman Rossin’s Risk Advisory Services practice. She helps clients mitigate risks by advising broker-dealers and investment advisers on various quality assurance, risk advisory, industry regulations, and compliance requirements. Lisa advises on anti-money launderi…
Scott Demar
Senior Manager, Risk Advisory Services
Scott Demar is a Senior Manager within Kaufman Rossin’s Risk Advisory Services practice, where he works with a team of consultants to assist financial services clients with complex business and regulatory risks. He brings over a decade of experience in regulatory compliance, having spent more than…





Bao Nguyen, CAMS, CFE, CRCP
Practice Leader, Principal – Investment Leader, Risk Advisory Services
Boca Raton
Bao Nguyen is a Principal in the Risk Advisory Services practice and co-leader of the Investment Industry practice at Kaufman Rossin. As a leader, his expertise focuses on recognizing and assessing compliance risks for broker-dealers, registered investment advisers (RIA), and private funds.
Bao …
Stephanie Richards, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
As a director in Kaufman Rossin’s Risk Advisory Services practice, Stephanie Richards cultivates strategic compliance solutions for broker-dealers and registered investments advisers. With her advanced knowledge and understanding of financial markets, industry regulations and compliance requiremen…
Alex Egan, CAMS
Director, Broker-Dealer & Investment Adviser Services
Boca Raton
Alex Egan is a director within Kaufman Rossin's Risk Advisory Services practice, where he leads a team of advisors assisting financial services clients with complex business and regulatory risks.
He brings over a decade of experience in governmental and regulatory compliance environment…
Lisa Reid, CAMS, CFE
Senior Manager, Risk Advisory Services
Boca Raton
Lisa Reid is a Senior Manager in Kaufman Rossin’s Risk Advisory Services practice. She helps clients mitigate risks by advising broker-dealers and investment advisers on various quality assurance, risk advisory, industry regulations, and compliance requirements. Lisa advises on anti-money launderi…
Scott Demar
Senior Manager, Risk Advisory Services
Scott Demar is a Senior Manager within Kaufman Rossin’s Risk Advisory Services practice, where he works with a team of consultants to assist financial services clients with complex business and regulatory risks. He brings over a decade of experience in regulatory compliance, having spent more than…
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