Dave Banerjee specializes in Broker-dealer, Registered Investment Advisor, Future Commodities Merchants, Commodities Trader registration and formation. RND associates of which he is Founder and CEO also helps as Outsourced Chief Compliance Officer, Finop and registered principal, PCAOB audit – certified, custody, SAS70, Independent risk review, manager selection, AML, BCP and “mock exams”. GAAP based GL maintenance, regulatory reporting, compliance calendars, compliance help desk, 1017 applications to FINRA, no action letters, branch examinations, advertising and public communication, procedures manuals, code of ethics, tax returns, corporate books and records, Firm element CE
