Discover Our Expertise
Registration and Regulatory Filings
Maintain Your Registration
Navigating the various regulatory filings can sometimes be cumbersome and time-consuming. However, it is important that filings be completed correctly, accurately, and timely. We can provide assistance in preparing, reviewing, and updating your various regulatory filings, whether you're just starting your business or if you have an established business.
Written Policies and Procedures
Develop Your Compliance Program
Financial professionals are required to have comprehensive written policies and procedures. We can help you prepare, review, and update your policies and procedures, and make sure that they are appropriate for your business model.
Compliance Program Supervision
Manage the Paperwork
Let's face it: a good compliance program requires a lot of paperwork, which keeps you from spending time with your clients. We can help you manage the supervisory burdens by assisting with things like monitoring code of ethics reports, performing vendor due diligence research, reviewing marketing materials, or approving social media content.
Monitoring and Surveillance
Make Sure Your Program Works
Once you have a compliance program in place, you need to perform ongoing monitoring and surveillance to be sure that your program is effective in preventing, detecting and correcting any compliance violations. We can assist you with performing tests and reviews, such as mock exams, email reviews, and employee reporting.
Education and Training
Enhance Your Knowledge
Effective employee education and training help to support a strong compliance culture in your firm. New employees should know the rules and regulations that affect their jobs. All employees should receive periodic updates to help refresh their knowledge of compliance rules, and learn about regulatory updates. We can customize training programs for your firm.
Help When You Need It
Whether you outsource your entire compliance program or whether you feel confident managing it all yourself, sometimes you just need a little extra support to get advice or to assist with special projects. We are available to help you with any one-time or ongoing support you may need, such as assistance with regulatory exams, consulting on new products or services, or providing information on new rules and regulations. We can also help navigate questions such as, "How do I handle a client complaint?" or "What do I do about a trade error?"