What can we do?

• • Undertake a general review of your firm’s existing compliance structure and provide an analysis of weaknesses and areas for improvement.
  
  
• • Develop a compliance structure that is tailored to your business and includes policies, procedures, forms, logs and record keeping protocol.
  
  
• • Provide on-going support on compliance and registration matters (see "Support")
  
  
• • Undertake reviews of personal staff trading on an outsourced basis.
  
  
• • Perform compliance projects on a one-off basis.

How we can help

• • Reduce regulatory risk. Compliance is about making the applicable rules and market practices live in a Firm and its daily business environment. We help bridge the gap between regulatory requirement and business need.
  
  
• • Save time. Management can focus on their business without compliance and administrative distractions.
  
  
• • Support Marketing Efforts.
Smaller firms can suffer from a misguided perception they lack adequate controls and procedures. When key prospects undertake a due diligence on your firm, we can help address any compliance related questions or concerns.  Firms that participate in the ongoing support program may also use Ara's name and logo on their website and other marketing materials.