Consulting
- Prepared regulatory readiness assessment for investment advisory firm in anticipation of an SEC regulatory examination
- Provide on-call consulting and research services on compliance issues for all HRL clients
- Completed trading risk assessment for senior management of diversified financial services company
- Provided business resiliency and contingency planning resources for a diversified financial services company
- Prepared cost benefit analysis of SEC registration for investment advisory firm
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Compliance Program Design, Audit, and Implementation
- Developed compliance policies and procedures for numerous investment advisers in compliance with SEC Rule 206(4)-7 under the Investment Advisers Act
- Restructured and drafted revised Supervisory & Registered Representative Compliance Manuals for affiliated broker-dealers
- Designed and executed compliance audit programs for multiple financial service clients
- Designed business planning and client disclosure templates for diversified financial services entity
Financial Writings for Clients
HRL has authored multiple financial product and regulatory compliance courses for international securities education providers serving licensed professionals. A sampling of course titles includes:
- Broker-dealer Audits and Branch Office Inspections
- Privacy – Banking and Securities
- Anti-money Laundering
- Securities Analyst Rules
- Economics for Investors
- Retirement, Estate and Tax Planning
- Private Placements
- Variable Annuities – Sales and Supervision
- 529 Plans
- Churning and Excessive Trading
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