Investment Suitability

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• 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.
• Gips ComplianceEnsure firms claiming GIPS compliance under the CFA Institute Global Investment.
• 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.
• Privacy Data SecurityDesign and operate privacy and data security programs for SEC-registered firms under Reg.