EB-5 Compliant Business Plan & Investment Compliance
The EB-5 industry is growing very rapidly and with that comes increased regulatory oversight. Core Compliance & Legal Services, Inc.℠ ("Core Compliance") can help with:
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Broker-Dealer Formation
Firms that are interested in starting a broker-dealer for the purpose of participating in EB-5 securities transactions will need assistance going through the extensive process of becoming registered with the SEC and attaining membership with FINRA.
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Create Written Supervisory Procedures
New EB-5 broker-dealers need to create a Written Supervisory Procedures Manual that details how the firm will comply with FINRA rules and securities regulations. Existing broker-dealers who wish to enter this space must amend their current procedures to comply with regulations and internal controls governing EB-5 securities transactions.
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Compliance Consulting
Not all regulatory questions are easily answered, especially with a program like EB-5. The team is standing by to provide guidance on securities regulations and their applicability to the EB-5 program.
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FINRA Examination Support
We have the knowledge to guide EB-5 broker-dealers through their initial and ongoing regulatory examinations, providing insight, mock interviews and preparation guidance based on our experience with the program.
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Resources
Related Articles
April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, CSCP, CEO On Episode 103 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell provides an overview of the 2022 SEC Compliance Outreach Program Seminar.Red Oak Compliance Conference Featuring Michelle Jacko
Ep. 103: 2022 SEC Compliance Outreach Program Overview
“Our team is dedicated to delivering quality, innovative, and value-driven consultation services and providing superior customer support.”
Michelle L. Jacko, CSCP, CEO