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Privacy Data Security

Design and operate privacy and data security programs for SEC-registered firms under Reg.

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More in Legal & compliance

  • 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.
  • Private PlacementsAnalyze private placement and exempt offering compliance under Regulation D, the Invest.
  • Reg BiAnalyzes broker-dealer duties under SEC Regulation Best Interest.
  • Regulatory ReportingGuides regulatory filing mechanics and deadlines for investment advisers.
  • Sales PracticesIdentify and prevent sales practice violations under FINRA and SEC rules governing.