Broker-Dealers
One of the main areas of our business over the years has been the establishment of broker-dealers in the United States. We have established scores of firms and have helped scores of others to stay in business by providing ongoing legal compliance and operational services and support.
Again, our focus is on the small firm or start-up. We:
- Prepare and file FINRA member applications
- Organize entities
- Prepare compliance programs and policies
- Assist in finding the suitable clearing firm
- Assist with accounting and operational support
- Prepare periodic regulatory filings
- Assist with SEC and FINRA audits
- Assist with the licensing of personnel
- Assist with product planning and growth
- Prepare mandated continuing education programs
- Conduct annual reviews of the firm's business
- Conduct the mandated annual meeting
- Provide ethics and compliance training
- Establish broker-dealer affiliates as adjuncts to hedge fund management and sales activites
- Provide continuing education materials to help meet Firm Element requirements
- Perform branch office inspections anywhere in the country
- Serve as SEC-mandated consultant to address critical deficiencies
- General consulting
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