Compliance programs for regulated entities must be reasonably designed to meet the requirements of the SEC, FINRA and states. Equally important, each program must be implemented with care and precision and reviewed periodically to be considered adequate under applicable regulations. We have worked on hundreds of compliance matters, including inquiries, examinations and reviews. Our deep experience and ongoing practice allows us to maximize the value we bring to clients when they need it most. Mr. Mahoney has also been the chief compliance officer for many registrants, including several broker-dealers, investment advisers, an ATS, and a securities funding portal. He has also been the AML compliance officer for several BDs, RIAs and registered investment companies. We can put our experience to work for you.

Investment Adviser Compliance Services

• RIA registrations with SEC and states
• Form ADV, schedules and disclosures
• Day-to-day compliance issues and guidance
• Risk management reviews and assessments
• Compliance system reviews and drafting of procedures and manuals
• Advertising, sales material, and brochure reviews
• Portfolio and performance disclosure issues
• Code of Ethics issues and reporting
• Compliance annual reviews under Investment Advisers Act Rule 206(4)-7 and
• Investment Company Act Rule 38a-1
• Anti-money laundering requirements and related programs
• Review and analysis of financial planning activities and disclosures
• Books and records requirements and issues
• Mock reviews and examinations

Broker-Dealer Compliance Services

• FINRA membership process and SEC and State registrations
• Form BD, schedules and disclosures
• Form ATS preparation and filing
• Form U-4 and Form U-5 disclosures and filings
• Registered representative registration and qualification issues with SROs and states
• Day-to-day compliance issues and guidance
• Risk management reviews and assessments
• Compliance system reviews and drafting of procedures and manuals
• Firm supervisory structure and branch office issues
• Advertising, sales material, and brochure reviews
• Code of Ethics issues and reporting
• Compliance annual certification under FINRA Rules
• Anti-money laundering requirements and related programs
• Continuing education requirements and annual compliance meeting content
• Books and records requirements and issues
• Mock reviews and examinations