Governance, Risk, Compliance & Reporting Solutions                                   CLIENT LOGIN

EVERY MOVE MATTERS!

 
 

Policies and Procedures Development and Updating


Whether it is the SEC, FINRA or State regulators performing an audit of the compliance program, either will ultimately issue a letter of any deficiency findings of that audit. The response of a firm must be decisive and on point. The response must provide the regulatory authority a clear understanding of the corrective measures that the firm will take in the near term and the measures the firm will take to ensure that the deficiency will not be an issue in the future.

Not only does the response need to placate the regulator’s concerns, it must be devised with an eye to the firm’s operations and not be overly burdensome on the firm. Our professionals specialize in devising corrective measures that make business sense for the firm and at the same time meet the concerns of the regulators. For certain issues, the resolution may require some negotiation with the regulatory body in order to achieve a mutually beneficial solution. The experience of our professional staff is important for firms in this situation.

See more about our hourly based engagements Click Here


 
 

 or we will call you    

Access Our Tools and Technology Library 

 
 

Candidates Looking for the Right Career Match -> Career Website