Our Client Service Model
The HRL client service model is designed to provide clients with valuable resources in a customized, timely, and reliable manner. A typical client engagement begins with a compliance assessment, driven by client discussions and an off-site review of relevant client compliance documentation. Further on-site review and client dialogue are incorporated as necessary. Upon completion of the compliance assessment, HRL delivers a findings and recommendations report summarizing compliance issues, gaps and any noted deficiencies in the compliance program, as well as actions to be taken for resolution. HRL is prepared to assist with the implementation of assessment recommendations. Our resource assistance may include field audits, specific compliance content development, policy implementation assistance, and professional training.
Step 1
Understand all aspects of our client’s business model relative to compliance, including:
  • organizational structure
  • professional expertise
  • service offerings
  • product distribution capabilities
  • third party affiliations and service provider relationships.
Step 2
Assess the efficacy and reliability of compliance resources, policies, and procedures, including:
  • registration and training protocol
  • marketing and client service models
  • communications and disclosures pursuant to fiduciary responsibilities
  • trade management practices
  • integration of the compliance regimen with operational processes
  • formal delegation of compliance responsibilities to firm personnel
Step 3
Identify inherent and prospective compliance and reputation risks, gaps, and deficiencies in light of current regulatory requirements and industry standards.
Step 4
Deliver a prioritized compliance findings and recommendations report.
Step 5
Escalate service offerings to include field audits, content development, and related implementation assistance as necessary to attain full compliance.
Horrigan Resources, Ltd.
3000 Village Run Road Building 103, #209, Wexford, PA 15090
Phone: 724.934.0129     Fax: 724.934.0132		 Sign up for our Email Newsletter   
Email: info@HorriganResources.com Copyright © 2011 Horrigan Resources, Ltd. • Service provided by Ender Technology