Compliance Risk Management

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, research 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 transactions.

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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 monitoring and testing 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.