Compliance Consulting for Advisory Firms and Broker-Dealers
Helping clients through regulatory and legal challenges with our industry expertise. We have knowledge of current regulatory developments, as well as industry best practices. We help you to periodically assess the effectiveness of your written procedures.
OUR SERVICES
We offer comprehensive compliance support for Broker-Dealers, including:
Broker-Dealer registration assistance
FINRA filings and administration
Annual compliance reviews
Compliance manual preparation and updates
Regulatory filings (e.g., Form BD, Form U4, Form U5)
Risk assessments and gap analyses
Mock SEC and FINRA examinations
Email surveillance and trading reviews
Cybersecurity policies and procedures
Client suitability assessments
Code of ethics and privacy policies
Review of offering documents
CCO training and annual meetings
About Us
What We Do
We provide hands-on compliance support for Broker-Dealers, helping you meet SEC, FINRA, and state regulatory requirements. From initial registration to ongoing compliance management and exam preparation, we guide you through every step of the regulatory process.
Practical, Tailored Compliance Solutions
Our approach is focused on real-world compliance strategies designed specifically for Broker-Dealers. We deliver actionable solutions that you can implement immediately, rather than abstract or theoretical guidance.
SEC, FINRA, and State-Level Compliance
Broker-Dealers face complex requirements from the SEC, FINRA, and state regulators. With our experience and expertise, we manage all aspects of compliance to keep your firm aligned with every applicable regulatory standard.