Securies Industry Compliance & Advisory Services

SECICAS will prepare and update the WSP of FINRA member firm so that the WSP complies with all applicable rules and regulations and contains sufficient details to provide the member with an adequate supervisory roadmap.  Additionally, SECICAS will provide education and training to its clients to help them comply with the provisions of the WSP.  SECICAS will also provide BDs with guidance about new rules and regulations by SEC, FINRA and other SRO.