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We offer support in all areas of
regulatory compliance,
whether related to sales, trading,
registration or oversight activities.
Our consulting approach begins
with a thorough understanding
of our client’s unique regulatory,
management and strategic concerns.
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Our services are
customized to address the
specific needs of our
client.
For example, we can:
- Design and implement polices and procedures
that will protect your firm and its management
from regulatory troubles.
- Review the adequacy and effectiveness of existing
policies, procedures and controls.
- Perform and document thorough compliance examinations,
including reviews of retail branches, trading
desks, sales practices and general controls.
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- Train staff on compliance related policies, procedures and issues.
- Resolve regulatory audit deficiencies.
- Analyze and apply new regulatory requirements.
- Provide compliance support during the introduction of new products and channels of distribution
- Investigate client complaints and conduct
other internal investigations.
- Advise on staff and firm registration matters,
including the registration of new firms.
(See registration page)
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