Services > Compliance
We can work closely with your outside counsel to fill certain gaps because we not only have expertise in the legal, regulatory and compliance issues facing federally registered broker dealers and investment advisers, but we also understand the business implications of addressing these issues. Sometimes, a seemingly easy solution can create greater problems than the one it was designed to fix. Compliance and operational processes are most effective when they complement the existing workflow and reinforce the business goals of the company.
General Compliance
- Regulation, Notification, Interpretation, and Implementation
- Registration services - IARD & CRD, annual updates,
- Supervisory Controls, Audits and CEO Certification (3012-3013)
- Written Supervisory Procedures
- Anti-Money Procedures and Audits
- Establish and implement policies and procedures in order to detect and report suspicious activities or suspicious transactions;
- Develop custom exception reports designed to find activity based on your specific business and customer mix. Clearing firm reports are often very general and may not be useful to your firm in identifying potentially non-complaint activity or conflicts of interest.
- Conduct branch examinations – or develop custom modules narrowly tailored to your specific risk matrix so in-house personnel can conduct the annual branch examinations
- Continuing Education
- Conduct annual compliance meetings – or develop custom training material narrowly tailored to your specific risk matrix so in-house personnel can conduct the annual compliance meetings
- Broker Dealers
- Full Service B/D Registration
- Continuance in Memberships
- Conduct CE Needs Assessment and Training
- Advertising | Performance Review
- AML for Investment Advisers
- Develop custom IA Agreement with clients which closely match your business model
- Training
- Hedge Funds
- HF Manager Registration Services
- Compliance Launch Program
- Hedge Fund Inspection Program
