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Services

SEC and FINRA requirements are constantly changing and becoming more complex. More regulation is meant to protect investors, but has placed a heavy burden on financial services firms. Successfully meeting the myriad of compliance obligations requires access to expertise, clear advice and practical solutions. Our services are designed to lift the burden of compliance and enable you to focus on managing assets and function at a higher degree of productivity.

 

We will serve as a resource and provide assistance to your firm's in-house CCO by taking on various compliance functions and providing specific services as requested. We can help customize an existing compliance program, update policies and procedures, review emails and trades, provide on-site support during a regulatory examination, and draft responses to regulatory inquiries.

 

As your compliance consultant, we are here to answer your compliance questions and provide guidance in a cost-effective and timely manner. 
 

Investment Advisers

  • Annual Compliance Program Review

  • Policies and Procedures

  • Form ADV Amendments

  • Mock SEC/State Examinations

  • CRD/IARD Administration

  • Business Continuity Plans

  • Code of Ethics

  • Privacy Policy

  • Marketing and Performance Reviews

  • New Adviser Registration

Broker-Dealers

  • Annual Compliance Program Review

  • Written Supervisory Procedures

  • Continuing Education Programs

  • Mock FINRA Examinations

  • Independent Testing of AML Program

  • CRD Administration

  • Form BD and BR Filings

  • Advertising/Correspondence Reviews

  • FINRA Form NMA

Hedge & Private Equity Funds

  • Annual Compliance Program Review

  • Policies and Procedures

  • Form ADV Amendments

  • Mock SEC/State Examinations

  • CRD/IARD Administration

  • Business Continuity Plans

  • Code of Ethics

  • Privacy Policy

  • Marketing and Performance Reviews

 

A..B.C.Consulting

Simplifying Compliance