 | Menu of Services |
Following is a representative list of the services we offer as well as General Compliance Consulting.
If you do not see what you specifically need please contact us to discuss:
ADVICE
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Interpret new or amended industry rules and regulations and translate them into an understandable and easy to follow format
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General Compliance Support
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Customer complaint process management
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Financial Institution Mergers & Acquisitions
ASSISTANCE
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With and management through the Securities and Exchange Commission ("SEC") registration process and the Financial Industry Regulatory Authority ("FINRA") New Member Application process, and other Major Exchanges
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With the registration process of a new Commodities Broker with the Commodities Futures Trading Commission ("CFTC") and the National Futures Association ("NFA") as a; Futures Commission Merchant ("FCM"), Introducing Broker ("IB"), Commodity Trading Advisor ("CTA"), and Commodity Pool Operator ("CPO")
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With the registration process of Investment Advisors with the SEC or individual State regulators
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With various State registrations processes
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With the FINRA Continuing Membership Process
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With the CEO Certification Process
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With Continuing Education Needs by Conducting Interviews and Creating Needs Analysis and Training Plans
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With company and Outside Counsel Regarding Regulatory Issues
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With establishing Supervisory Systems
CREATE and MAINTAIN DOCUMENTATION
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Written Supervisory Procedures Manuals
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Investment Advisor Written Supervisory Procedures and Code of Ethics Manuals
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Create and Implement Anti-Money Laundering (AML) programs
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Create and Implement Business Continuity Plans (BCP)
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Create and Implement Continuing Education Plans
FINANCIAL
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SEC/FINRA FOCUS Reporting and Supplemental Filings
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Accounting/Bookkeeping
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Accounting/Regulatory Reporting
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NFA Financial Reporting
GUIDANCE
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General Equity and Fixed Income Compliance matters
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General Options Compliance matters
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Municipal Securities Rulemaking Board matters
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Investment Advisor Supervisory Processes
OPERATIONAL/ADMINISTRATIVE
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Amending Broker-Dealer or Investment Advisor Registrations
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Organizational and Individual State Registration Processing
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Central Registration Depository Administration
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IARD Administration
SUPPORT
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Support Your Overall Compliance and Administrative Efforts
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Document Supervisory and Compliance Procedures
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Perform Independent Annual Audits/Testing of both AML and BCP Functions
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Perform Pre-Regulatory Audit Checkups for Broker Dealers and Registered Investment Advisors and Regulatory Directed Audits
- SEC, FINRA, NFA, and State
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Conduct NFA Compliance Audits
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Conduct Continuing Education Training Sessions
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Conduct the Annual Compliance Meeting
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Conduct Organizational Annual Compliance Audits
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Trading and Market Making Support
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Interfacing with;
- Regulators
- Counsel
- Auditors
PRINCIPAL and SUPERVISORY SUPPORT
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Providing full time or for an interim period Qualified:
- Financial and Operations Principals
- General Securities Principals
- Compliance Principals
- Options Principals
- Municipal Principals
- Investment Banking Principals
- Operations Professionals
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Organizational and Individual State Registration Processing
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Central Registration Depository Administration
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IARD Administration