We are pleased to announce that we have moved to a new office. Our new location is 1655 North Commerce Dr. Suite 301, Weston, Florida 33326.

What we can do for you

Financial Regulations Florida

  • Enterprise Risk Management Program Assessment/Development and Evaluation
  • Broker Dealer Regulation and Compliance
  • Broker Dealer Supervision Outsourcing
  • Policy and WSP Development and Deployment
  • Remediation Projects
  • Cross Border Investment Solutions and Structure
  • Sales Practice Reviews and Solutions
  • Anti Money Laundering / CIP Procedures and Control Development
  • Compliance and Supervisory Reviews and Evaluations
  • Registered Investment Advisory Regulation and Compliance
Financial Advisory Florida
  • Review of Enterprise Risk Management Program
  • Control Testing
  • Control Execution
  • Enterprise Governance
  • Development of Risk Intelligence Program
  • Supervisory Oversight Program
  • Business, Sales and Product Program Development
Financial Advisory Florida
  • Designing rule implementation protocols.
  • Developing clear policies and procedures customized to your business.
  • Design control framework for assessing sustainability of controls and procedures.
  • Design and development of Compliance.
  • Management protocols and tools to meet regulatory expectations.
  • Providing expert advice and guidance on industry best practices in addressing existing and new regulatory requirements.
  • Development and implementation of Corporate Training Program.
  • Managing FINRA and SEC Registration requirements, including change in business and registration oversight programs.
  • Communication with the Public Supervisory Program, including marketing materials, social media, electronic communication and physical correspondence
Financial Laws Florida
  • Expertise in effective project management techniques to meet regulatory requirements.
  • Implementation of risk management protocols for effective escalation of issues to senior management and risk mitigation, including regulatory reporting.
  • Execution of first level reviews and tasks in a cost effective and efficient manner.
  • Critical analysis of process execution with the objective of identifying efficiencies.
  • Provide training and development to staff, allowing for ease of hand off when necessary.
  • Ability to manage and accept any project around a broker dealer practice regardless of scale/size to meet stated goals.
  • Performing branch review including design of testing protocols.
Financial Laws Florida
  • Drafting of policies and procedures, including Written Supervisory Procedures and desktop procedures, customized to business/supervisory and compliance activities
  • Policies and procedures review discipline
  • Policies and procedures control mapping to ensure sustainability and control effectiveness
  • Training provided to impacted staff
  • Development of communication strategy/protocol for adequate dissemination of procedures
Financial Laws Florida
  • Define detailed task and dependencies plan for remediation projects
  • Ability to manage all types of remediations regardless of size, scope and time to complete.
  • Establishment of governance structure and disciplined approach to ensure successful completion of project.
  • Provide analytics that will focus on root cause and lessons learned
  • Develop sustainable control framework to avoid similar issues from arising again
Financial Risk Management Florida
  • Cross Border Business evaluation to pin point risks, challenges and possible areas of business opportunities.
  • Development of Cross border business program, including permissible activities and adequate governance tailored to specific business.
  • Review, develop and implement cross border policies and procedures that take into account travel, presence standards, in country rules of conduct.
  • Cross Border business on-boarding control development.
  • Cross border business supervision including high impact jurisdictional monitoring.
Financial Risk Management Florida
  • Review and evaluation of Supervisory and Surveillance tools.
  • Provide guidance risk based supervisory strategies.
  • Perform stress test on supervisory oversight tools.
  • Executing supervisory reviews, including documentation and resolution of possible exceptions.
  • Governance strategy for supervisory organization.
Financial Risk Management Florida
  • Development of AML policies and procedures, including CIP, EMDD, Sanctions, and SAR filings (among others) customized to business model and risk appetite.
  • Performing AML reviews and AML controls effectiveness, including client on boarding , investigations and recommendations.
  • Deployment of and performing AML training.
  • Guidance on industry best practices regarding AML.
  • Oversight tool review and recommendation, including assistance on the development of surveillance logics.
  • AML monitoring/investigation outsourcing.
Supervision Program Florida
  • Development of Compliance and Supervisory Programs consistent with line of defense hierarchy (1st Line vs. 2nd Line vs. 3rd Line of Defense), including clear definition of roles and responsibility.
  • Development of risk based testing protocols and routines.
  • Performance of internal reviews and testing protocols.
  • Assistance in exam/testing preparation including regulatory exam readiness.
  • Assistance in regulatory exam.
Financial Compliance Consulting Florida
  • Development of Investment Advisory Compliance Program and Supervisory Program.
  • Review, development and implementation of Investment Advisory Controls, policies and procedures.
  • Conflict of interest evaluation, including pricing, personnel and business concerns that may present conflict of interest challenges.
  • Performing oversight functions, including sales practices supervision.

Providing practical solutions and alternatives that are sustainable, scalable and adaptable to your business in a cost efficient manner.

Top