STRATEGIC COMPLIANCE CONSULTING

Compliance Program Assessment: Broker/Dealer and Investment Management   Former compliance executives and attorneys will assess your program for compliance with relevant laws and regulations, best practice, and program gaps. We can assist or advise in mapping compliance risks and controls.

Sales Practices Surveillance or Red Flag Monitoring   We have designed and used automated systems for remote monitoring of sales for red flags. We know how to build management information reports using existing data or how to help you develop efficient and accurate red flag tools for senior sales, suitability, churning and replacements, complaints, and other red flags relevant to your business.

Compliance Information Systems   Real-world experience in designing, implementing, using compliance information databases and systems. From small applications such as databases and automated reports to track advertising reviews to main-frame systems to track and manage multiple compliance activities and risks, we have the experience, including understanding how to deal with IT people!

Records Management Compliance and E-discovery Preparation   With our business partners at McLane, a regional Law firm, our former records management executives can help you prepare for legal e-discovery and records hold orders, and help build a best practices, efficient records management program.

• General records management policies, procedures, employee training, and infrastructure.
• E-mail monitoring best practices and systems evaluations.

Due Diligence Reviews   Efficient assessments of the internal controls and compliance program of mutual fund companies using a comprehensive checklist.