Advice Standards

More in Legal & compliance

• Trial Readout AnalysisAnalyzes clinical trial readouts with AdCom-style scrutiny and comparisons.
• Default Video DigestTurns transcripts into grounded, structured notes for deep study.
• Account Opening ComplianceEmbed compliance controls into account opening and verify regulatory readiness.
• Advertising ComplianceChecks investment ads against SEC Marketing Rule and FINRA advertising rules.
• Anti Money LaunderingGuides BSA/AML compliance design, transaction monitoring, and FinCEN reporting.
• Books And RecordsGuide the design and maintenance of recordkeeping programs under SEC Rules 17a-3, 17a-4.
• Client DisclosuresGuide investment adviser and broker-dealer disclosures.
• Conflicts Of InterestIdentifies, discloses, and mitigates advisor conflicts of interest under Reg BI.