02
Securities Compliance & Operations
The U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), state securities regulators and investors have significantly raised the bar for securities compliance.
SEC enforcement trends of investment advisers, issuers and broker dealers indicate that maintaining a robust compliance program is critical for an organization to effectively prevent regulatory, financial and reputational risks that may result from regulatory enforcement action or litigation.
The regulatory climate in the securities industry combined with legislative and rule making changes add several layers of complexity for market participants.
My primary goal is to help you manage this complexity by designing and implementing policies, processes and procedures that assist in mitigating these risks.
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Got a project in mind?
If you are interested in discussing your goals and seeing if I can help you achieve them hit me up.