Looking to enhance your firm’s compliance? We offer a wide range of compliance services to small and mid-size broker-dealers and investment advisers. Outsource to a small compliance firm, like mine has great benefits. You can control the expenses, as you get to outsource as much or as little of the compliance tasks as you want. You will get personal attention every time you call and your project will be handled on an expeditious basis. By increasing efficiency, you can focus on running a successful business and leave compliance to us…
Starting a new Broker-Dealer or Registered Investment Adviser?
We provide services A-Z starting at structuring your new firm, to forming the company, preparing the New Membership Application (“NMA”), if your firm is a Broker-Dealer, or the Form ADV and Brochure if your firm is an Investment Adviser, along with all documents necessary for the submission of the NMA, or ADV, developing the firm’s compliance frame, training personnel, if requested and setting up an easy to use system of books and records. At the time your firm’s NMA or Form ADV is approved, your firm is ready to open its doors confident that the firm is fully compliant with regulators. To continue our relationship after approval, see Maintaining a Compliant BD or RIA.
Buying, Changing, or Revamping an existing Broker-Dealer or Registered Investment Adviser?
We lead you through the regulatory process, when you buy an existing BD or RIA, or changing your business model, or simply restructuring. Based on the materiality of change, we assist you with a materiality consultation (MATCON) or a Continuing Membership Application (“CMA”) whichever is applicable. This process will encompass establishing a comprehensive compliance program, and the preparation of all incidental documentation for BDs or RIAs, such as Written Supervisory Procedures, AML Procedures, Business Continuity Plans, and Continuing Education Plans.
Maintaining a compliant Broker-Dealer
For Broker-Dealers
Compliance Program Creation and Review
Web CRD administration
Supervisory Controls Reviews
Communications with SRO’s and State regulators
Compliance Training
Annual Compliance Meetings
Updating and revising Procedures for AML
Updating and revising Business Continuity Plans
Updating and revising Written Supervisory Procedures
Assistance in CEO Certification Process
Regulatory Research
Preparation for SRO or SEC audits
Books and Records System setup
Maintenance of Continuing Education Plan
Correspondence Reviews
All Registered Rep related on-boarding and maintenance
Compliance Q&A and advising on rules changes
For Investment Advisors/Hedge Funds
Compliance Program Creation and Review
Web IARD administration, Form ADV
Annual Compliance Meetings
Business Continuity Plan
Books and Records System setup
Code of Ethics
Compliance Training
Compliance Q&A
Maintenance of Compliance Manual and AML
Employee/Access Person/Covered Person
Compliance Maintenance
Compliance Manual
Regulatory Research