We provide additional resource and specialist input, helping manage the ongoing burden of increasingly stringent regulation. With over 20 years’ experience supporting firms of all shapes and sizes, we’re on hand to provide additional resource or specialist input when it’s needed most.
Ongoing compliance support
We support many of our clients with ongoing, flexible resources designed to respond to the changing needs of your business. We track regulatory developments relevant to you, proactively discussing the potential impact and what you’ll need to do while ensuring you’re able to deliver business-as-usual activity.
With our local dedicated team of US regulatory specialists with experience across in house compliance, consulting and former regulators from the SEC, FINRA & NFA we’re able to provide strong technical expertise, coupled with our global perspective and presence, enabling us to support clients looking for country specific services, looking to extend their product offerings outside national borders or simply want peace of mind that regulatory commitments are being met.
Compliance resources when you need
Good compliance resources can be expensive and scarce. We can fill in gaps and give you additional capacity for short periods when workload is high, there is increased risk, or you have a regulatory review or project.
We can also provide outsourced compliance experts to work as part of our clients’ in house teams – as de facto compliance officers, managers of compliance teams or technical experts for specific projects.
We give you peace of mind that your compliance set up is watertight and work with you to manage regulatory risk. And because we work across the industry, we know how others are reacting to new regulations.
What does ongoing support cover?
Each ongoing support arrangement is tailored to the needs of each client, typically spanning the following:
Annual and Ongoing Services
- Compliance reviews and recommendations
- Review and maintenance of the compliance manual, Code of Ethics and appropriate policies and procedures
- Preparation of applicable filings and submission e.g. Form ADV - providing updates and amendments; or Form 13-F and Form D filings as needed
- Risk assessment and review of exemptions
Quarterly Reviews and Maintenance
- Compliance calendar maintenance
- Compliance Testing
- Code of Ethics Reviews
Daily/Weekly
- Administration of the Compliance Program e.g. pre-clearance requests, email reviews, and advertising approvals.
Ad hoc Services
- Training e.g. new associates, policy implementation etc.
- Regulatory change projects
- Responses to questions as they arise
- Regulatory examination support
Start your journey
Get in touch using the form below and a member of the team will get back you as soon as possible.
