We are independent consulting firm that specializes in compliance and registration services required by investment advisers throughout the United States. We offer our services to both federal- and state-registered investment advisers. We assist firms establish compliance programs, supporting them with ongoing guidance on issues and responding to inquiries, and registering advisers with the Securities and Exchange Commission and states’ securities authorities. We also notify our clients about regulatory changes in the federal and state securities laws.
Our principal consultant served in both the private and public sectors over the past 15 years, which provides a unique perspective on compliance issues and industry best practices. Her experience affords her the opportunity and insight to transform regulatory rules and requirements into meaningful, formalized policies and procedures and documentation demonstrating the advisers’ required compliance reviews and testing. She also provides suggestions on the effective management and mitigation techniques to reduce an advisers’ exposure to inherent risks. Our firm offers individualized service taking into consideration the advisers’ specific business model and practices.
Laura Vardalis was employed as a Staff Accountant and Securities Compliance Examiner for over ten years at the United States Securities and Exchange Commission and was hired under the federal government’s Outstanding Scholar Program. During her tenure at the Commission, Laura conducted hundreds of examinations of investment advisers, investment companies, hedge funds, variable insurance product providers and broker-dealers. Laura also assisted the Securities and Exchange’s Division of Enforcement and other regulatory agencies on examinations that were referred for further action, including enforcement and judicial proceedings. She has been deposed and testified in the United States District Court Southern District of Florida.
She continued her experience in the regulatory field as a Financial Control Analyst with the State of Florida, Office of Financial Regulation. In addition, she was an Assistant Vice President and Trust Officer at a bank in Houston, Texas, where she administered trusts, retirement plans, and other investment management accounts. She also served on its Investment and Administrative Review Committee.
Continuing in the private arena, Laura served as a compliance consultant for Financial Industry Technical Services, Inc. (FITS) a national consulting and outsourcing placement services organization. During her tenure at FITS, she researched current industry trends related to compliance, federal and state regulatory amendments, and “best practices.” Laura also wrote the FITS quarterly newsletter pertaining to investment adviser issues and ad hoc publications addressing timely subject and industry issues.
Laura further assisted a national online licensing school for insurance and securities examinations update the content of its study manual and guide for the Uniform Combined State Examination (Series 66) offered by Financial Industry Regulatory Authority, Inc. (FINRA). Additionally, she conducted verification research and responses to inquiries related to the examination material submitted by individuals studying for the Series 66.
Our principal consultant served as an instructor for the North American Securities Administrators Association (NASAA), at its national investment adviser conferences in Savannah and Kansas City. She was a speaker and instructor for the State of Florida at its investment adviser conference for the State’s examiners and financial specialists in Fort Lauderdale. Additionally, she spoke at SEC training programs.
If you would like to receive additional information regarding our firm and Laura Vardalis’ experience and expertise, please contact Laura at
254-595-1654.
