C O M P L I A N C E  R I S K  M A N A G E M E N T


Planning and executing the full range of regulatory and compliance programs for US and foreign broker/dealers, asset managers and banks. This includes:

  • Developing policies and procedures which address regulations involving sales, trading, and capital markets to include compliance manuals.
  • Preparing written supervisory procedures conforming to FINRA regulations and bank supervisory standards.
  • Enhancing information barrier controls, control room procedures and monitoring of email and personal securities transaction.
  • Education and training on current and emerging regulatory issues facing business managers.
  • Examination resolutions to address regulatory finds.
  • Evaluation and resolution of TRACE, OATS, and ACT reporting issues.
  • Implement anti-money laundering processes, policies and procedure to meet Patriot Act standards.
  • Develop procedures for annual CEO certification requirements.
  • Practical, business aware advice and solutions to real time compliance risks and challenges impacting clients, products and services.
  • Evaluating financial products and services for regulatory risk, conflicts of interest, suitability and reputational risk.
  • Addressing client communications requirements to include disclosure obligations, periodic reporting, website access and disclaimers for written and electronic media.
  • Research for newly proposed or adopted regulations.
  • Addressing research compliance issues based on the evolving regulatory practices and expectations.
  • Litigation support to include independent consulting services for FINRA, SEC or state regulatory settlements.
  • Expert witness support for litigants.

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