Most problems begin from a breakdown in communication or compliance procedures. Understanding how information moves through your company is the first step.
Financial institutions need flexible processes that can be successfully implemented and that will adapt over time as their business and the regulatory environment evolves.
Registered Investment Company disclosure requirements, Investment Adviser reporting, Beneficial Ownership reporting, Form ADV, and Code of Ethics requirments.
Arbitration hearings, reporting obligations, regulatory filings, and compliance exams
Swap execution, record keeping requirments, and customer risk disclosures under the Commodity Exchange Act
NFA Rules governing registration, sales practices, and promotional material.
Compliance and exemptions from registration for banks and covered funds under Dodd-Frank and other regs.
Anti-money laundering and customer due diligence under the Bank Secrecy Act and Foreign Corrupt Practices Act.