Broker Dealers

• Anti-Money Laundering Policies and Procedures
• Written Supervisory Procedures
• Business Plan for Broker Dealer Registration
• Registered Rep. Compliance Handbook
• Electronic Data Retention Policy
• Disaster Recovery Plan
• Business Continuity Plan
• Broker Dealer Application Filing (Start to Finish)
• Broker Dealer Continuing Education
• Compliance Consulting Packages
• Mock NASD Audits
• NASDAQ exchange membership applications

Exchange Members

• All of the above
• Examinations and audits
• COATS compliance
• Preparation and responding to investigations
• Business Conduct Committee representation
• Negotiating settlements

CTAs, FCMs, and CPOs

• Audits and exam
• Registration with the NFA
• Compliance Procedures
• AML procedures

Investment Advisors

• Private Placement Memorandum
• Investment Advisor registration
• Hedge Fund registration
• Establishing on or off shore hedge fund