BROKER-DEALER AND INVESTMENT ADVISOR SERVICES GROUP
We provide legal, regulatory and compliance counsel to the broker-dealer and investment advisor industry. We guide companies through the National Association of Securities Dealers, Inc. (NASD) new member application process and through changes or amendments to their existing broker-dealer business models. We also form federal and state-registered investment advisors.
We have been involved in the formation or ongoing compliance efforts of over 100 financial services industry firms. We assist clients in negotiating clearing agreements, structuring back office operations, and works closely with accountants and other service providers in the industry.
Specifically, we provide representation and support in the following areas:
· Written Supervisory Procedures and Compliance Manuals
· Continuing Education Plans and Needs Analysis
· Anti-Money Laundering Compliance Plans & Audits
· Business Continuity Plans
· Annual Compliance Meetings
· General Compliance and Consulting
· NASD Web Applications (Registration)
· Review of Business Operations
· SRO Examination Preparation
· Corporate Formation and GovernanceBusiness Law | Broker-Dealers | Investment Advisers | Attorneys | Disclaimer
Resources | Pledge | Speaker Services | Client Comments | Contact11 Broadway | Suite 615 | New York, NY 10004 | +1 212 480 8800
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