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)