Debasish Dave Banerjee Banerjee
CEO @Broker Dealer Compliance
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WORK HISTORY
CEO @Broker Dealer Compliance
Outsourced Regulatory Compliance Consulting since 1984 to Broker Dealers, Registered Investment Advisers, FCM, Banks and Insurance agencies.Served over 320 firms. From being the firms CCO, Finop, registered principal and intermediary between firm and regulators.Professionally qualified by AICPA, PCAOB with licenses as S24,27,7,3,63,4,55,79 and 53.Very effective in dealing with regulatory findings, wells letter, OTR and handling current investigations.Litigation support expertise, IT and SAS70, PCAOB exams on custody and certified audits. Staff of 13 functionally organized including ex regulator, law professionals, CRD/IARD, Corporate and Tax specialist. Vertically integrated.Currently seeking seed funding partners for the development of an accelerator platform for fintech firms navigating the complex work of securities regulation. For more information please email. d•••@securitiesreg.tech
EDUCATION
Indian Institute of Technology, Kharagpur
BTech, Civil
Thunderbird School of Global Management
MBA, Finance
University of Calcutta
MBA, Finance
ABOUT DEBASISH DAVE BANERJEE BANERJEE
Specialties: BD, RIA, FCM, CTA registration, formation. Outsourced CCO, 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.Currently seeking seed capital for a technology based accelerator platform for fintech firms requiring broker dealer registration compliance and operations.
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