Services We Offer

Key Services

• Expert Witness Services: Serve as an expert witness in regulatory investigations and civil disputes.

• Litigation Support: Assist in pre-settlement audits. Act as enforcement assigned monitor.

• Implement Compliance Programs: Create and oversee Compliance and Surveillance programs, and assess existing ones for effectiveness.

• Design and Deliver Customized Training: Create and deliver tailored training programs for both management and staff.

• Conduct Regulatory Audits: Simulate regulatory audits to identify potential risks and prevent regulatory actions.

• Develop Tailored Policies and Procedures: Craft customized manuals, policies, and procedures that align with your organization's unique characteristics and meet regulatory standards.

Additional Services Offered

• Advocate for Regulatory Change: Provide guidance and support in advocating for new regulatory proposals.

• Facilitate Registration Processes: Assist with approvals for new registrants or the expansion of business lines for existing registrants.

• Interpret Complex Financial Regulations: Break down intricate financial regulations and offer practical implementation solutions for your organization.

• Provide Temporary Staffing Solutions: Offer staffing solutions in specific areas.