SQN is short for the Latin term "Sine Qua Non" which loosely translates to “the ingredient without which something would be impossible.”
Whether you need support starting a broker-dealer or enhancing operational efficiencies, SQN Global exists to provide the services required to be competitive and compliant in today's financial services industry.
We appreciate many financial service institutions are overwhelmed with the ever-changing regulatory requirements and ongoing reporting demands, not to mention the costs associated with building an in-house team.
SQN Global serves in roles as CEO, CCO, COO, FinOP, Options Principal, etc. for multiple firms with varying business models. Our experience spans retail and institutional focused businesses, M&A, investment banking, private placement, crypto, crypto exchanges, ATS, online fintech brokerage, robo-advisors, traditional retail BD/RIAs, research firms, self-clearing, etc across multiple regulators across the globe.
SQN Global is designed to solve these, and other, issues as an outsourced partner and is uniquely qualified to provide cost-efficient and customizable packages of essential compliance / regulatory consulting, financial services / reporting and accounting / business operations functions. We can support new member applications, additions in business lines, and independent annual audits to supplement our core offering of compliance and FinOp services.
The team at SQN Global is licensed to provide your firm adherence with the following regulatory roles and requirements, and more:
- Series 4 (Registered Options and Security Futures Principal)
- Series 7 (General Securities Representative)
- Series 14 (Compliance Officer)
- Series 24 (General Securities Principal)
- Series 27/28 (FINOP - Financial and Operations Principal)
- Series 55/57 (Securities Trader)
- Series 66 (Series 63 and Series 65 Registered Investment Adviser)
- Series 79 (Investment Banking Registered Rep)
- Series 87 (Research Analyst)
- Series 99 (Operations Professional)
Thanks to a series of consultant partnerships that meet our standard of excellence, SQN Global can also provide regulatory legal advice, business tax preparation, financial year-end audits, and cryptocurrency compliance consulting.
