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EVERY MOVE MATTERS!

 
 

Hourly Engagements


Many times our clients are just looking for assistance in particular areas and not someone to come in with the idea of providing a more comprehensive approach. Some, but not all, of the specific areas clients approach for assistance include:

Broker Dealers:

  • Disaster Recovery planning, reviewing, updating and testing
  • Suitability issues, documentation and monitoring
  • Privacy Policy disclosure and program development/testing
  • Training of personnel in compliance tasks
  • Compliance considerations for new business or product areas
  • Best Execution analysis
  • Advertising and correspondence review
  • Trade documentation
  • Mutual fund considerations
  • Variable annuity and life product considerations
  • Client file documentation
  • Licensing of registered representative issues
  • Heightened supervision plan development and implementation
  • Annual Compliance Meeting agenda and presentation
  • AML Training
  • Firm element training
  • Gap analysis and CEO Certification
  • Needs analysis
  • Associated person attestations

Registered Investment Advisors:

  • Disaster Recovery planning, reviewing, updating and testing
  • Code of Ethics drafting, documentation and monitoring
  • Privacy Policy disclosure and program development/testing
  • Training of personnel in compliance tasks
  • Compliance considerations for new business or product areas
  • Risk assessment
  • Best Execution analysis
  • Advertising and correspondence review
  • Trade documentation
  • Investment policy statement development
  • ADV disclosure
  • Client file documentation
  • Trade error procedure and documentation
  • Proxy voting procedure and documentation
  • Aggregated trading procedures and documentation
  • Licensing of investment adviser representative issues

Regardless of the scope of an engagement, we are committed to helping clients have an effective compliance and risk management program within their budget.


     
     

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