The compliance industry has changed.

Contemporary issues in the regulatory and compliance field have altered the direction of government oversight.  State and federal regulators now have become more aggressive and punitive in their examination and enforcement outcomes.

Some of the current examination priorities are:

• Safety of Assets and Custody
• Conflicts of Interest
• Internal Controls and Compliance Programs
• Marketing and Performance Return Calculations and Disclosures
• Never-Before Examined Advisers
• Wrap Fee Programs
• Quantitative Trading Models
• Inadequate Disclosures of Payments for Distribution and Preferential Treatment
• Supervision

The professional industry of advisers has recognized the need for a proactive approach to keep ahead of the securities regulatory authorities.

The services contained in this website will provide a path to proper management consistent with regulatory standards