Dave Banerjee

CEO, Regulatory Compliance Consultant

RND Resources, Inc.

Dave Banerjee, CPA is a seasoned compliance professional who provides principal registration service and compliance management to Investment firms and broker-dealers. As CEO of RND Resources, Inc., Dave has developed compliance solutions for SEC and FINRA new member firms with an emphasis on vertically integrated solutions that encompass business operations, compliance, trading, and registration into a coordinated program. Hundreds of firms have benefited from Dave’s unique perspective of over 30 years’ experience in FINRA member and SEC matters where he regularly advises on every aspect of compliance and remediation programs for Investment Companies. Additionally, as a CPA Dave Banerjee provides audit and audit preparation as well as PCAOB certified audits, custody audits, and fund accounting.

Mr. Banerjee presently serves as a FINRA district 2 committee member where he actively participates in discussion of Blockchain and Emerging technology for FINRA small firm members. Dave also participates on the CyberSecurity committee and Broker Dealer compliance committee of NSCP. He holds a Bachelor of Science degree in Engineering and Technology, as well as a Master in Business Administration.

Related Sessions

View full schedule

Quick Links

For More Information, Contact Us:

(860) 672-0843 info@nscp.org