Gips Compliance

More in Legal & compliance

• Conflicts Of InterestIdentifies, discloses, and mitigates advisor conflicts of interest under Reg BI.
• Examination ReadinessPrepare for and respond to SEC and FINRA regulatory examinations across the full exam.
• Fee DisclosureChecks whether fee and cost disclosures are complete, accurate, and not misleading.
• Fiduciary StandardsApplies investment adviser and ERISA fiduciary duties.
• Investment SuitabilityAssess investment suitability obligations under FINRA Rules 2111 and 2090 across all.
• Know Your CustomerGuides customer ID checks and due diligence under FINRA and FinCEN rules.
• Post Trade ComplianceDesigns trade surveillance alerts that catch churning, front-running, and cherry-picking.
• Pre Trade ComplianceDesigns automated checks that validate orders before they execute.