Compliance Reviews

• Top-Down Regulatory Risk Reviews
• Targeted Business Line Reviews
• Registration Gap Analysis
• AML Reviews
• Marketing and Advertising Reviews
• Conflict Reviews

Outsourced On-Going Compliance Support

• Updating and maintenance of compliance policies and procedures
• On-demand review of marketing and advertising material
• Updating and maintenance of Forms ADV Parts I and II
• Ongoing consulting and access to forms and templates
• Electronic communication reviews
• Execution quality reviews
• Personal trading reviews
• Preparation, updating and maintenance of regulatory filings
• Review and analysis of inter-firm arrangements, such as those relating to prime brokerage, administration, soft dollars and third-party research
• Annual reviews and risk assessments
• Forensic testing of firm procedures
• Employee training and continuing education
• Regulatory exam support
• Temporary staffing of lawyers and compliance analysts as needed

Adviser and Broker Registration Services

• Analysis and advice regarding proper firm structure
• Creation of the relevant entities
• Preparation and submission of registration applications to the appropriate regulatory agencies
• Preparation of all supporting documentation including, registration forms, business plans, supervisory procedures, etc.
• Preparation and support at any regulatory meetings, including membership interviews
• Coordination, preparation and assistance with any follow up requests
• Marshalling and assistance through the registration process
• Identification, selection and management of appropriate service providers, such as counsel, auditors, FINOP services, IT and email providers
• Coordination and implementation of procedures, including supervision of service providers and facilitation/legwork of any connectivity issues.