| BEST PRACTICES CONSULTING GROUP |
Securities Industry Consultants
| Photo: Hubble Telescope 1995 www.hubblesite.org |
| At Best Practices Consulting, we understand that investment advisors and independent 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 demands. We also understand that our clients are looking for efficient, cost-containable methods for meeting these challenges. Best Practices Consulting provides outsource 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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