Services:

 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.



Glen Williams Consulting Fact Sheet

Glen Williams Consulting Fact Sheet (pdf)

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