Our services focus on operational design and implementation, compliance management and regulatory oversight and include the following:
OPERATIONAL DESIGN & IMPLEMENTATION
Designing and implementing operational processes to manage the registered firm (cash management, financial reporting and audit, performance reporting, marketing material, tax filings and regulatory reporting);
Reviewing legal documentation from counsel in detail for key points or issues for discussion;
Coordinating vendor selection and due diligence processes;
Performing annual due diligence reviews of key vendors or suppliers;
Training staff with respect to specific issues;
Coordinating registration with the SEC or other offshore regulators and the establishment of international operations.
Designing and implementing an effective compliance system, including developing or revising the policies and procedures manual to reflect actual operations, new requirements etc.;
Establishing an anti-money laundering compliance regime, including policies and procedures, risk assessment and training;
Conducting anti-money laundering audits (required every two years);
Performing compliance reviews of topical areas such as know your client, suitability and marketing material;
Preparing and compiling regulatory submissions, including the biannual OSC Risk Assessment Questionnaire and SEC Form ADV and Form PF;
Managing regulatory compliance reviews.
Acting as a Compliance Consultant or Monitor when terms and conditions are imposed on your registration by regulatory authorities;
Serving as a member of your Independent Review Committee under NI 81-107;
Preparing regulatory registration submissions for individuals for review by counsel.