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.
COMPLIANCE MANAGEMENT
- 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.
REGULATORY OVERSIGHT
- 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.