Customer Transactions and Employee Personal Trading Reviews
E-mail Reviews, including implementation of surveillance platforms
Financial and Operations Principal (FinOp) Services
Annual Compliance Meetings and Firm Element Training
Investment Advisor
Outsourced CCO
Overall Compliance Strategies and Execution
Creating and Updating Code of Ethics and Compliance Policies and Procedures Manuals
Marketing Material Reviews
Customer Transactions and Employee Personal Trading Reviews
Rule 206(4)-7 Annual Compliance Reviews and Mock Audits
Investment Bank
SEC 15a-6 Chaperone Broker-Dealer Services
Assistance with obligation to comply with research safe harbors rules (e.g. – Securities Act Rules 137, 138 or 139, Regulation M, Rules 14e-3 and 14e-5 under the Securities Exchange Act of 1934), while working with your SAs to efficiently publish and issue research.
Comply with research disclosure requirements per FINRA rule 2241 and 2242
Comply with Wall crossing requests
Chaperone interactions between research and investment banking personnel