Investment Adivsers:
- Compliance Program Reviews
- Mock SEC Exams
- Forensic Testing of Compliance Programs
- Performance Reviews
- Best Execution Reviews & Analyses
- Specialized Compliance Reviews
- Policy and Procedure Development
- SEC Inspection Support
- Compliance Training
- Expert Witness Work
- On-going Review of Employee Proprietary Trading
- Advertising and Sales Literature Review
- Filing of 13F & 13G
- SEC Registration
- State Registration
- Registrations of Reps
- IARD Administration
Broker/Dealers
- Regulatory Compliance Reviews
- Supervisory Control Assessments
- Anti-Money Laundering Independent Testing Reviews
- Specialized Compliance or Product reviews including Investment Company products
- FINRA Initial Membership Applications
- Changes to Membership Applications
- State Applications
- CRD Administration
- Policies and Procedures reviews and customization
- Compliance Training
- Due Diligence for Mergers and Acquisitions
- Advertising and Sales Literature Review
- On-going Review of Employee and Proprietary Trading
Hedge Funds
- Mock SEC Exams
- Forensic Testing of Compliance
- Specialized Compliance Reviews
- Policy and Procedure Development
- SEC Inspection Support
- On-going Review of Employee and Proprietary Trading
- Compliance Training
- Advertising and Sales Literature Review
- SEC Registration
- State Registration
- Registrations of Reps
- IARD Administration
Registered Invesment Companies
- Mock SEC IC Exams
- 38a-1 Policy and Procedures Reviews
- Sub-Adviser Due Diligence Reviews
- Anti-Money Laundering Reviews
- Customized Forensic Testing of Compliance Processes
- Customized Compliance Reviews
Policy and Procedure Development
- SEC Inspection Support
- Compliance Training
- Expert Witness Testimony
- Advertising and Sales Literature Reviews
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| Kary Moore, Esq. |
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| Matthew S. Hardin, Esq. |
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