Compliance Procedures

Our professional staff assists Municipal Advisory firms to develop effective written compliance policies and procedures that help prevent abuses, detect and mitigate conflicts of interest, reduce firm risk, and maintain legal compliance with the related regulatory requirements. This approach helps to define the roles and responsibilities of your senior management and supervisors while promoting successful business practices.

To help accomplish this, our services include support and assistance regarding:

  • Creation, review and or enhancement of Written Compliance¬† Procedures
  • Employee training on new policies and procedures
  • Development of business continuity plan documents
  • Analysis of compliance with SEC and MSRB recordkeeping¬†requirements and the evaluation and implementation of recordkeeping and document retention policies
  • Review and assess Privacy Policies and Procedures regarding safeguards for protecting confidential client Information
  • Analysis and review of the conflict of interest processes