Consulting Services – Overview

We provide a full range of compliance management services that can play a vital role in helping our clients meet their regulatory responsibilities, allowing them to focus on their businesses.
We help companies prepare for registration, provide outsourced compliance management, perform regulatory risk management and infrastructure analysis, and offer due diligence services and compliance training.

Investment Adviser and Asset Manager Services

  • Compliance Training: The Culture of Compliance
  • Due Diligence
  • Compliance +
  • Continuing Education and Training
  • SEC+ Registration
  • Risk Assessments
  • Annual Reviews and Mock Audits
  • Review and Customization of Policies and Procedures
  • Outsourcing

 Broker-Dealer Services

  • Compliance +
  • Continuing Education and Training
  • Annual Compliance Meeting
  • FINRA/SEC Registration
  • Registration
  • Guidance on 3012/3013
  • AML Audits and Training

Hedge Funds Services

  • Consulting Services
  • Due Diligence
  • Risk Assessments
  • Annual Reviews and Mock Audits
  • Review and Customization of Policies and Procedures
  • Outsourcing

CPO/CTA Services

  • Consulting Services
  • Regulatory Filings
  • Risk Assessments and Self-Examinations
  • Development of Policies and Procedures
  • NFA Audits and Training

Global Services

  • US Risk Assessment for Foreign and Non-registered Entities
  • Foreign Funds Marketing to US Institutions
  • US Companies with a UK/EU Presence