Since our launch in 2000, we have been acutely aware that investment
advisors and broker-dealers are under tremendous pressures to effectively
manage their resources while meeting the demands of a volatile market
environment, increasing competition, changing technology, and ongoing
regulatory requirements. We also understand that our clients are looking
for efficient, cost-containable methods for meeting these challenges.
Best Practices provides out source compliance and operational consulting
services. We will assist your firm in establishing, and effectively
implementing, customized compliance and operational solutions that fit
within your firm’s corporate culture and still meet sound business practices
and regulatory requirements.
Our consultants have legal, regulatory and operations experience and
can advise you and your firm with pre-organization strategy and guide you
through entity formation, registration and start-up. For ongoing firms we
will update your compliance program, train your staff on implementing
periodic compliance testing, conduct simulated audits and counsel you
through each of your inevitable SEC or FINRA regulatory examinations.
We work directly with your staff to create supervisory and operational
systems that are workable and sustainable.
advisors and broker-dealers are under tremendous pressures to effectively
manage their resources while meeting the demands of a volatile market
environment, increasing competition, changing technology, and ongoing
regulatory requirements. We also understand that our clients are looking
for efficient, cost-containable methods for meeting these challenges.
Best Practices provides out source compliance and operational consulting
services. We will assist your firm in establishing, and effectively
implementing, customized compliance and operational solutions that fit
within your firm’s corporate culture and still meet sound business practices
and regulatory requirements.
Our consultants have legal, regulatory and operations experience and
can advise you and your firm with pre-organization strategy and guide you
through entity formation, registration and start-up. For ongoing firms we
will update your compliance program, train your staff on implementing
periodic compliance testing, conduct simulated audits and counsel you
through each of your inevitable SEC or FINRA regulatory examinations.
We work directly with your staff to create supervisory and operational
systems that are workable and sustainable.
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PRACTICES
Consulting Group
Consulting Group
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