We offer an experienced outsourced chief compliance officer to help clients implement compliance supervision. Such services include:
Working with senior management on decisions impacting the firm's regulatory compliance;
Performing CCO functions, including testing the firm's compliance policies and procedures, incorporating new or amended regulations;
Conducting annual compliance meeting and training;
Reviewing emails and FinCEN postings (if applicable);
Monitoring employee activities, including personal trading accounts, outside business activities, private securities transactions, gift and entertainment restrictions, etc.
Conducting office visits and OSJ inspections to comply with FINRA requirements;
Filing required regulatory reports, including annual Form ADV amendments/updates (in the case of investment advisor firms) and FINRA-required reports;
Conducting and documenting annual reviews of compliance policies and procedures and assessing effectiveness;
Providing support during regulatory examinations.