Dave Banerjee – FINRA District 2 Committee Member

Meet Dave Banerjee CPA   Dave Banerjee

CEO l Consultant l Speaker 

FINRA District 2 – small firm seat

Serving with FINRA is a unique opportunity to influence regulatory policy. Working with so many clients who are subject to regulatory guidelines, I am honored to have the opportunity of speaking for broker dealer firms burdened by overwhelming pressure by compliance oversight through my election to FINRA small firm committee 2017 through 2019. 

 

Personal statement from Dave.  “I understand and recognize the challenges faced by FINRA small firm members and I believe strongly that there is a better way to provide quantifiable results.”

As a compliance and regulatory principal to small and mid-sized firms, Dave has unique insight of the burden placed on smaller broker-dealer firms by regulatory authorities and SEC concerns executed by FINRA (a dual perspective). In recent years Dave has noted the steady decline in applications for new member broker-dealer firms, and an increase in withdrawals. He recognizes the reason for this, in part, is due to the ever-changing regulatory burdens placed on smaller brokers. Dave agrees with others who say, “Current registration and filing requirements have a tremendous impact on a small firms’ ability to invest in building the business. In today’s regulatory landscape there is an undeniable crisis among small broker dealer firms.”

Dave’s Candidate Profile –

 

Speak with Dave Banerjee by phone or contact us below

Office: (818) 657-0288  

Download Candidate Profile

Read more about Dave Banerjee’s qualifications


 

Professional Qualification Highlights

Core Competencies: 

  • Licensed series: 4, 7, 24, 27, 53, 55, 63, 65, 79, 99
  • Member PCAOB, AICPA, NSCP
  • FINRA registered since 1984
  • Mock Audits
  • Compliance Controls
  • FINRA SEC Exams
  • Compliance Outsourcing Specialist

Areas of Expertise:

  • Regulatory Compliance
  • Audits & Exams
  • CyberSecurity Plans
  • Risk Management
  • Tax Compliance & Planning
  • Foreign Investments

About Dave

Dave Banerjee, CPA is a Co-founder and the CEO of RND Resources, Inc. Under Dave’s leadership, RND Resources, Inc. has provided customized compliance consulting, risk assessments, audit services, accounting, registration and PCAOB services to broker dealers, registered investment advisors, hedge funds, commodity trading advisors, commodity pool operators, futures commission merchants, banks, wealth managers, and insurance companies since 1984.

Dave conducts webinars, seminars, on-site consulting & training, and is frequently asked to participate in  public speaking engagements.  Recent panel speaking commitment includes the NSCP National Conference.

Download Dave’s Bio and Speaker media kit

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