We are a Chicago-based firm that focuses on offering the financial services industry the right tools to ensure their work meets the highest requirements. We work hard to provide end-to-end solutions and advanced tools to handle compliance, systems, and administrative needs for exchange members, investment advisors, and broker-dealers.
Ours services include:
- State registration services
- SEC registration services
- IARD administration
We either implement a system, or guide you through the process of implementing one yourself. With IARD administration, we walk you through the overall process.
We help direct your firm through any and all disclosure issues that may arise. Depending on the size and specific requirements of your firm, we can develop supervisory procedures and a firm-specific compliance program. Our ultimate goal is to ensure that your firm meets regulatory standards while working within the parameters of your resources. Should you choose, we can conduct: the review of
- Employee compliance with your firm’s code of ethics
- The firm’s compliance with advertising regulations
- Assist with custody issues.
Whether you are an FINRA or non-FINRA broker-dealer, we can help you navigate the compliance realm. It can be a cumbersome job, but we will help you steer through the complexities.
We can help you with registration services, including new member registration and CRD administration for current members. We also offer specialized compliance reviews, including:
- Anti-money laundering independent testing
- Supervisory control assessments
- Order audit trail systems
- Reviews and assistance with meeting reporting requirements
Our company can help with development of written supervisory procedures, books and records support, compliance and product-specific training, reviews of employee trading, compliance meetings, including annual meetings; and examination support, including response to deficiency letters and matters of enforcement.
Your firm is a unique operation, and as a result, we offer tailored programs to incorporate specific regulations for where your firm operates.
In the event that your firm only requires compliance services, we can handle that for you, too. We offer compliance service packages for a flat rate, at a basic, mid-range and full service level.
Basic review includes review of employees’ electronic mail and personal trading statements. Using your firm’s boundaries and policies, our company will review these matters with a detailed eye.
Mid-range reviews includes the basic package with the added benefits of weekly or monthly compliance meetings, annual reviews, update of all written supervisory procedures, hosted annual compliance meeting, and firm training if needed.
Our full service package offers the mid-range package with the added benefits of annual CEO certification assistance, preparation for exams, on-site exam support, post-exam inquiries, assistance with OATS reporting, and real-time availability to field questions and contact regulators on your behalf.
Each package is priced based on the number of employees, business lines, and the principal’s involvement in compliance function.
If you are interested in discussing these available products, please call us at 312-933-2885 and we can discuss your unique needs.