Regulatory Filings

WOJ can assist with your compliance and regulatory needs. WOJ is well positioned to assist your fund with the various filing requirements for the world’s major regulatory agencies. For instance, in the US, for Broker/Dealers with Financial Industry Regulatory Authority (FINRA). WOJ offers drafting and preparation as well as electronic filing of monthly and quarterly FOCUS reports, computation of Aggregate Indebtedness and Minimum Net Capital Requirements subject to Rule 15c3, and other financial reporting/filing as necessary for regulatory compliance.

AML/KYC Compliance

WOJ’s position as fund administrators and our expertise with related regulatory compliance allows WOJ to assist with anti-money laundering and know your client regulations. Our staff can assist with the necessary operational procedures to satisfy SEC guidelines and present you with a cost-efficient and time-saving solution.

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