Providing risk management and compliance services to enhance competitiveness
Compliance Program Creation
We assist in creating customized compliance programs for investment advisers, broker–dealers, and other firms, including developing policies, procedures, and internal controls.
Compliance Program Review
We perform comprehensive compliance reviews to identify firm-wide compliance control weaknesses or gaps in specific business areas. Focused reviews include: compliance culture and “tone at the top”; conflicts of interest and Code of Ethics; supervisory procedures; surveillance systems; portfolio management and trading; compliance with client investment guidelines; insider trading policies and procedures; advertising and sales practices; outsourcing and service provider due diligence; and the Foreign Corrupt Practices Act.
Examination Preparation and Assistance
We advise firms on preparing for and managing Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, National Futures Association, and other regulatory examinations and inspections.
Compliance and Ethics Training
We help design and deliver training programs to promote adherence to laws, rules, and industry principles and best practices.
Trading Systems and Other Technology Assessments
We assess the design and implementation of trading systems, cybersecurity and other information security programs, risk management controls, quantitative investment models, and other technology systems to determine whether they meet regulatory requirements.
We are available to assist purchasers, investors, counterparties, lenders, and others in conducting due diligence, including reviews of regulatory compliance programs.
Corporate Governance Advice
We review governance systems, and offer counsel regarding stakeholder relations, management rights and responsibilities, and committee structures and charters.