Consulting Services

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Compliance

• Regulation Best Interest

• DOL Fiduciary Rule

• Advertising/Marketing Review

• Exception Report Evaluation

• Prospective Advisor/Employee Review

• Regulatory Exam Preparation

• Branch Inspections/Preparation

• Product/Service Due Diligence

• Deliver Education/Training

• Writing/Updating Procedures

• Record Retention Review

• Broker-Dealer/RIA Due Diligence

• Risk Assessment

• AML Review/Testing

• Cybersecurity Review

• Heightened Supervision Plan Design

• Form CRS/ADV Implementation

• Research Records for Legal Discovery Requests

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Operations

• Start/Terminate RIA

• Business Continuity Plan Review

• System Review/Conversions

• Broker-Dealer/RIA Changes

• Technology Conversions

• E&O Insurance Review/Renewal

• Transitioning Practice to New Owner

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Let's discuss your needs if you don't see it listed above.