Compliance Services
Compliance Support
• Assist with new firm setup and registration including development of Written Supervisory Procedures (WSPs), Form ADV, Form CRS, and other regulatory documentation.
• Provide guidance on Reg BI, clearing firm relationships, books and records, and investment products.
• Conduct product due diligence, account reviews, advertising and communications review, email surveillance, trading analysis, and representative support.
Examinations and Testing
• Perform independent compliance examinations for head offices and branch locations in accordance with industry regulations.
• Provide FINRA Rule 3310 (AML) support, including Customer Identification Program (CIP), OFAC and FinCEN procedures, recordkeeping, SAR filings, continuing education, and annual audits.
• Support IA compliance testing under SEC Rule 206(4)-7 to ensure fiduciary obligations are met.
FINRA CRD/IARD
• Manage all regulatory filings and licensing obligations for firms and representatives (FINRA, SEC, MSRB, State, and Insurance).
• Perform filings such as Form ADV, BD, BR, U4, U5, and others.
• Provide ongoing maintenance for Rule 4530 filings, disclosures, deficiencies and CRD renewals.
Regulatory, Legal, Complaint and Arbitration Support
• Assist with customer complaint and arbitration analysis, responses, filings and regulatory inquiries.
• Draft written responses, reports, and follow-up procedures for SEC, FINRA, and state audits.
• Analyze legal disclosures and representative activity to mitigate regulatory risk.
Operations and Investment Product Expertise
• Provide compliance and operational consulting across a wide range of investment products, including private placements, alternative investments, equities, fixed income, ETFs, REITs, options, and mutual funds.
• Conduct operational and compliance due diligence with clearing firms and third-party vendors.
Technology and Continuing Education
• Partnered with developers to design custom web-based compliance and Firm Element CE application enabling firms to track, manage, and document participation in required training and disclosure processes.