Financial Services Compliance

  • Broker-Dealers
  • Registered Investment Advisers
  • Banks
  • Wealth Management / Private Client Banking
  • Hedge Funds
  • Mergers & Acquisitions
  • Private Equity

Services and Solutions: Financial Services

Strategy and Management:

  • Chief Compliance Officer – Establish overall compliance strategy and drive execution

General Compliance Support:

  • Compliance and Supervisory Policy and Procedure Development and Implementation
  • Advertising / Sales Literature Review
  • Regulatory Change Management / Rule Interpretation and Implementation
  • Development of Metrics to measure program effectiveness,
  • Transaction Monitoring, Surveillance Protocols, Employee Personal Trading Reviews
  • Management Dashboards / Board Reporting / Board Presentations
  • Annual / Periodic Branch / Desk Compliance Examinations
  • FINRA Annual Compliance Meetings and Firm Element Training Development / Implementation / Delivery

Capital markets and investment banking

  • CRC specializes in addressing complex regulations, policies and procedures, surveillance, and conflicts of interest associated with capital markets and investment banking CRC can build or evaluate your firm’s compliance infrastructure for:
  • Trading and sales
  • Research
  • Equity and Convertible Origination and syndicate
  • Public Finance/Origination/Underwriting
  • Section 15G of the Exchange Act – Information Barriers
  • Investment Grade Debt
  • High Yield Debt
  • Remarketing/Auctions
  • Tender Option Bond Programs
  • Derivatives
  • Operations

Investment Advisory Services

  • Rules and regulations governing investment advisory activities have changed dramatically recently. Further, SEC and state oversight is at an all time high. CRC can help your firm adopt to recent regulatory changes and ensure your firm has a successful SEC or state review. CRC can assist your firm with the following compliance functions:
  • Dodd-Frank Investment Advisor Reform
  • State Registration
  • SEC Registration
  • Form ADV Part I, 2A and 2B Form PF
  • Annual Compliance Reviews – Rule 206(4)-7 of the Investment Advisers Act
  • Code of Ethics
  • Policies and Procedures

At Compliance Risk Concepts, we provide clients with the critical skills and expertise required to establish, maintain and enhance a balanced and effective compliance operational risk management program. Contact us for more information on how we can provide financial consulting services for your organization.

Other Verticals & Services we offer are Anti-Corruption & Ethics, Research Supervisory Analyst, Enterprise Compliance Risk Management, Expert Witness Service and Technology Industry Compliance.

Contact us to schedule a call/meeting to further determine your individualized needs and requirements.

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