The Response Companies' Compliance and Regulatory Services Division (" Response Compliance ") can provide you with a team of former regulators, accomplished compliance professionals and successful business people, all of whom recognize and understand the critical importance of blending meaningful and effective compliance with vital business initiatives and results. These are just a few of the products and services the RESPONSE team can offer you:

  • Prepare cost-effective responses to regulatory inquiries
  • Conduct OSJ and branch office inspections in accordance with FINRA Rule 3110(c)
  • Perform an independent test of anti-money laundering procedures pursuant to FINRA Rule 3310
  • Assess and reinforce your firmís supervisory system in accordance with FINRA Rule 3120
    Provide guidance in preparing for regulatory examinations, including assistance in responding to Pre-Examination Regulatory Information Requests, as well performing both on-site and off-site assistance during the actual examination.
  • Perform "mock examinations" to assist in determining compliance readiness
  • Review and augment your firmís Written Supervisory Procedures
  • Conduct Special Investigations and Mandated Reviews
  • Perform a Needs Analysis and develop a Continuing Education Plan
  • Conduct Annual Compliance Meetings and Training Programs
  • Perform Advertising Review and Website monitoring
  • Perform Trade Surveillance and Reporting Services
  • Provide FINOP services to address Net Capital and FOCUS reporting
  • Perform Due Diligence in connection with Mergers & Acquisitions

What is The Response Companiesí Compliance and Regulatory Services Division?
A dynamic group of experienced Compliance professionals whose collective expertise extends to all sectors of the securities industry. Response Compliance is headed by David J. Kenny, whose 42+ year career in the financial services industry spans both the regulatory and private sector sides of the business. David J. Kenny has been associated with Response Complianceís broker-dealer practice for nine (9) years, and has been Senior Managing Director of the broker-dealer practice for the past six (6) years. Daveís prior industry experience includes a 33+ year career with the NASD, the predecessor to FINRA. Over 20 of those years were in leadership roles, including various supervisory responsibilities in the District 10 offices for New York and Long Island. Dave supervised the NASDís Exchange Unit Joint Examination Program for dual NASD and NYSE members, headed up a CORE section which had responsibility for monitoring the financial and operational integrity of a group of assigned firms, and supervised both the Routine Cycle Examination program as well as a headed up a Level 1 Examination Unit consisting of the district officeís highest risk firms. Additionally, Dave has participated on numerous NASD national task forces and other initiatives, including an Options Task Force, the Municipal Securities Rules Initiative Task Force, the joint NASD/SEC Penny Stock Task Force. Dave was a rules expert to the Series 7 Test Industry Committee that creates brokerage licensing questions and was designated a subject matter expert (SME) for training purposes in FOCUS filing reviews. Dave was a recipient of the NASD President's Award for Achievement based on his performance as an NASD participant in the SECís Office of Compliance Inspections and Examinations (OCIE) project to review SROís examination procedures, and was selected to serve on the NASD Examination Consistency Committee. Dave also participated in the NASD Next Generation Examining Concepts Project.

About The Response Companies
A widely-respected, diversified firm that has served the financial services industry for over a quarter of a century. Our clients have discovered the value of outsourcing their vital compliance functions so that they can focus on their strategic business objectives with the knowledge and confidence that their regulatory responsibilities are being handled in a highly efficient and extremely professional manner.

When cost and competence are of paramount importance to your firm, The Response Companiesí time-tested infrastructure, unencumbered by a large corporate bureaucracy, provides the flexibility and depth of talent to meet your needs and still stay well within your budget. Response Compliance does not require an annual retainer to access our services. Response Compliance welcomes special project engagements and offers competitive hourly rates.

Response Compliance is an affiliate of The Response Companies, a national network of executive search, direct hire and contract staffing companies providing products and services to the financial services industry.

Areas of Response Companies specialization include:

Accounting
Finance
Securities & Investments
Compliance & Legal
Banking
International Banking
Mortgage Banking
Insurance
Information Technology

If Response Compliance can be of assistance to your firm, please contact David J. Kenny, Senior Managing Director at: (516)809-9555 dkenny@responseco.com

Response Compliance is an affiliate of The Response Companies which also can be contacted as follows:

The Response Companies

National Headquarters
56 West 45th Street New York, NY 10016
Telephone: 212.983.8870
Fax: 212.921.7815
Email:
compliance@responseco.com
www.responseco.com

The Response Companies also have offices in: Jersey City, NJ; Stamford, CT; and Melville (L.I.), NY