Compliance Consultant   FINRA Compliance

  • Broker Dealer Compliance Consultation

  • New Membership applications 1014

  • Continuing Membership Applications 1017

  • Anti-Money Laundering Exams and Independent Testing

  • Policies and Procedures Manual

  • Internal Control Reviews

  • SEC and FINRA Compliance

  • Compliance Training and Education

 

Anna Felipe serves as a Compliance Consultant for RND Resources, Inc.  Since 2006, Anna’s focus is the analysis of compliance issues related to SEC and FINRA rules.  Her experience includes working as a Compliance Examiner with FINRA Member Regulation.  Her specialization includes strategic planning and filing of New Membership Applications (1014) and Continuing Membership Applications (1017) and assisting broker-dealers with regulatory examinations including the preparation of responses to alleged deficiencies.

 

Anna earned a Bachelor of Science degree in Applied Economics from De La Salle University in Manila.

Contact Anna Felipe at (818) 657-0288 ext. 304

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