We are former regulators and understand regulatory compliance and supervision. A reasonably designed compliance program not only takes into account relevant financial regulations but also the corporate governance structure, risk management and culture. We can help firms design a tailored compliance program that complies with the regulatory requirements and incorporates implementation considerations that work for their business, taking into account size, organizational structure, risk management and other relevant factors.
We provide ongoing compliance program maintenance support, including reviewing written supervisory procedures for broker-dealer firms, compliance manuals for RIAs and ERAs to identify gaps in order to keep their compliance policies and manuals at pace with new rules and regulations.
We also conduct compliance program reviews and mock examinations, to help assess effectiveness and prepare for regulatory examination.