Financial Institutions

Custom Consulting

Custom Consulting engagements add variety to our practice. Our Custom Consulting program encompasses:

Speaker’s Bureau

We are always open to sharing our years of learning, and welcome your requests and suggestions for presenting on a variety of topics.  Perhaps you would like to discuss the intricacies of the investment advisor registration process, including what to expect and common pitfalls, as well as issues faced by advisors shortly after registration. In that case, one of our presentations geared towards new entrants in the industry will leave your attendees feeling well-prepared for the road ahead.  Or, if your audience is primarily comprised of experienced practitioners, let us discuss some practical, hands-on topics such as preparing for regulatory examinations, books & recordkeeping, and other of ongoing compliance matters. We strive to ensure that our presentations include a broad landscape and incorporate practical suggestions in order to allow attendees to put the issues presented into perspective and into action.

Writer’s Bureau

In addition to our speaking engagements, we often prepare written articles on relevant regulatory compliance topics for publication in newsletters, whitepapers, websites, and more. Utilizing our expertise in registered investment adviser regulatory compliance, in conjunction with our creativity and straight-forward approach, we will produce an easy to digest article to share with your audience.

Verification Services

It is vitally important to make sure that your compliance program adequately reflects the stringent regulatory requirements that are imposed upon the financial industry, and equally important to consistently examine your firm’s practices to make certain they conform to your firm’s compliance program. We are always readily available to review the efficacy of your firm’s compliance program.

Litigation Support

As leaders in the securities industry, we will review your case to identify if there were any violations of laws, rules, regulations or professional standards to ascertain if there is a credible grievance. Should you then decide to move forward with litigation, we remain available to assist with discovery support, consult on the formulation of a strategy, and furnish expert witness testimony.