Our services include, but not limited to:
- Changes to the Form ADV and Recordkeeping Rule Amendments
- Risk Assessment Rules 17h-1T and 17h-2T
- Broker-Dealer Net Capital Requirements – Rule 15c3-1, 15C3-3
- Capital and Margin calculations review
- SEC Regulation T
- Swap Dealers and Major Swap Participants compliance under CFTC Section 4S of Dodd-Frank Title VII
- CFTC regulation § 1.11: The Risk Management Program
- Market risk assessment, testing and review
- Credit risk assessment, testing and review
- Financial statements and capital analysis
- Operational risk assessment, testing and review (including business continuity planning)
- Internal investigations
- Due diligence (firm or individuals)
- Independent consultant services to law firms specializing in securities laws and regulations
- On-site support for regulatory exams by the SEC, FINRA, CFTC NFA, CBOE and others
- Responses (written and oral) to questions/requests from regulatory agencies
- Internal Risk Policies and Procedures
- Written Supervisory Procedures
- CEO Certification
- Board of Directors Risk Assessment reports
- Registration: State, NFA, FINRA, SEC, CFTC, CBOE and others
- Outsourced CCO and CFO
- Audit
- Anti-Money Laundering
- NAV calculation and review
- Mock–audit/exams with regulatory requirements of respective agencies and self-regulatory organizations (FSOC, SEC, FINRA, CFTC, and NFA)