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BROKER-DEALER COMPLIANCE |
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(Securities Act of 1933 and Securities and Exchange Act of 1934) |
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- NASD Conduct Rules including:
- Supervision/OSJ and Branch Office Inspections
- Books & Records
- Email Monitoring and Surveillance
- Marketing and Advertising
- Blue Sky Laws
- Regulation D and Private Placements
- Anti-Money Laundering (Bank Secrecy Act)
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HEDGE FUND & HEDGE FUND of FUND COMPLIANCE |
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(Investment Advisers Act of 1940) |
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- Rule 203(b)(3)-2 compliance ("pooled vehicles"(hedge funds))
- Rule 206(4)-7- Policies and Procedures
- Personal Trading Monitoring/Surveillance
- Rule 204A-1- Code of Ethics
- Form ADV
- Marketing and Advertising
- Books and Records
- Internal Controls/Supervision
- Conflicts of Interest
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MUTUAL FUND COMPLIANCE |
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(all legal and compliance aspects of Investment Company Act of 1940) |
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(Investment Company Act of 1940) |
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- Rule 38a-1- Policies and Procedures
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ERISA COMPLIANCE |
