Compliance and Legal Team

The Compliance and Legal Team at DFP Partners is responsible for ensuring that Broker-Dealers, Registered Investment Advisers, and other financial services firms meet all regulatory requirements. This team manages compliance consulting, oversees registration services, conducts independent anti-money laundering testing, and implements cybersecurity procedures and training. Additionally, the team handles branch inspection programs and manages both new and continuing membership applications to help clients navigate the complexities of securities regulation effectively.