Expert Witness Services by Fundamental Compliance Consulting

Services

Securities Expert Witness

Catherine Mustico CAMS®, CFE® is a Securities Expert Witness that has spent nearly 8 years as a FINRA Examiner, investigating all manner of cases, including market manipulation cases, insider trading, frontrunning, fraud, theft, forgery, supervision, AML, etc., while serving as FINRA’s internal Subject Matter Expert for AML, Fraud and Financial Crime, for small to mid-sized broker dealers, brokers, introducing brokers and clearing/custodial firms. Since 2012, Ms. Mustico has served as CCO, AMLCP, BSA Officer, and supervising principal within the financial industry, including SEC Registered IAs and has her 7 & 24 Securities licenses.

Professional Memberships:

Association of Certified Fraud Examiners, Association of Certified Anti-money Laundering Specialist, Securities Expert Roundtable (SER), and National Society of Compliance Experts

Areas of Expertise Include:
  • AML (Anti-Money Laundering)/BSA
  • Fraud
  • Misappropriation of Funds
  • Suitability of All Products/Reg BI
  • Disclosure Requirements to Customers
  • Disclosure and amendment requirements of Form U4 & U5
  • Outside Business Activities and Private Securities Transactions Disclosures
  • Supervision
  • Account Takeovers
  • Financial Exploitation
  • Violation of Fiduciary Duty

AML Independent Testing

Its important to get this key element of the 5 pillars of Anti-Money Laundering right. Not only is it required by FINRA Rule 3310(c ) to get your AMLCPs tested annually, but a solid and functioning AML program reaches into multiple aspects of your supervisory requirements by helping you to flag and detect patterns.  Our AML Independent Testing service can help small- to medium- sized businesses who may not have the personnel to focus on AML compliance. We can also help larger organizations who are struggling to keep up with the latest industry practices and compliance requirements.

AML Independent Testing Services by Fundamental Compliance Consulting
AML Independent Testing Services by Fundamental Compliance Consulting
Broker-Dealer Compliance Consulting Services by Fundamental Compliance Consulting
Broker-Dealer Compliance Consulting Services by Fundamental Compliance Consulting

Broker/Dealer Compliance Consulting

Regulation can be daunting, often confusing, and sometimes contradictory. So with almost two decades of experience in regulation, we will provide you with guidance you can trust. Period.  Fundamental Compliance Consulting provides broker/dealers with guidance and services that support compliance with FINRA rules, federal securities laws, and Securities and Exchange Commission regulations.  We specialize in small broker/dealers with less than 50 registered representatives.

Fraud Audit Services

Embezzlement usually starts out very small and grows exponentially, often over the course of many many years, until the fraud grows too large to go unnoticed and is ultimately discovered. This happens for many reasons, but more often than not, a normal financial audit does not reveal any discrepancies within the numbers. No organization is immune. Fraud affects nonprofits, charities, corporations and even religious organizations. Large, medium, small – it does not matter.  Fundamental Compliance Consulting can perform a thorough audit to detect any signs of fraudulent activity happening in your business or organization.

Fraud Audit Services by Fundamental Compliance Consulting
Fraud Audit Services by Fundamental Compliance Consulting
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Get In Touch

Ph: 607-289-2889

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2843 County Line Dr.
Big Flats, NY 14814