 | Innovative and Cost Effective Practical Advice Assistance and Direction Tailored to your Specific Needs |
WHAT WE PROVIDE
- Compliance, administrative, operational, trade support, general management advice and support to local, national, and international financial service organizations
- Guidance through the regulatory membership process at the SEC, FINRA, NFA, and Other Major Exchanges as well as various State Jurisdictions
WHAT WE DO
- Interpret newly created or amended regulatory rules and regulations enacted by securities and banking regulators and translate them into an understandable practical format
- Create and customize policies and procedures, designed to fit individual client needs
- Create Continuing Education programs, and conduct annual compliance meetings
- Enhance existing supervisory, trading, operations, personnel, and compliance manuals
- Create Anti-Money Laundering (AML) policies and procedures and conduct independent testing
- Currently serving as the compliance department and/or principal sounding board for over 20 Broker-Dealers, Investment Advisors, Commodities, Bank affiliated companies, and individuals
QUALIFIED PRINCIPAL SUPPORT
- Providing principals to act in a temporary or full time managerial and financial principal capacity for organizations in transition
- Interim licensing solutions in various principal capacities such as FINOP, General Securities, Options, and Municipal Principal Capacities
MAJOR CLIENT ENGAGEMENTS
- Foreign Bank Affiliated Broker Dealer
- Foreign Venture Capital
- Large US Bank Affiliated Broker Dealer
- High Visibility Broker Dealer
- Small and medium sized financial services companies
- Broker Dealers
- Registered Investment Advisors
- Wholesaling Broker Dealer