Our Goal is to Assist in Navigating the complex Area of Securities Regulation
PROVIDING REGULATORY AND LEGAL INSIGHT
Compliance Solutions (including)
• Compliance Projects
• Short-Term Compliance Assistance
• New Rule Implementation
• Anti-Money Laundering
• Regulatory Examination Guidance
• GAP Analysis/Risk Assessment
• Annual Compliance Review
• Compliance Policies and Procedures
Collaboration with Outside Counsel
• Regulatory Document Productions
• Document Review/Analysis
• On-The-Record Interview Preparation
• Internal Investigations
• Expert Witness
• Email Review
Amoroso Compliance Consulting, LLC Does Not Provide Legal Advice
Let us use our experience to
assist you in your relationship
with both your regulator and,
when needed, your outside counsel.
- Assist compliance team with projects that it has not had time to address.
Short-Term Compliance Assistance
- Assist compliance team on short-term basis to catch up on required compliance reviews.
New Rule Implementation
- Review new rules and determine how they will affect your firm based on your firm’s specific facts.
- We can draft policies and procedures that will be reasonably designed to ensure compliance with the new rule.
- Analyze and test your AML policies and procedures
- Check your surveillance processes.
- Assess your AML training program.
- Assess your documentation of compliance.
Regulatory Examination Guidance
- Conduct mock exam in preparation for regulatory exams.
- Act as a firm liaison for a regulatory exam so you can stay focused on running your business.
- Provide assistance during an on-site regulatory exam to answer your questions and help you manage the exam.
- Conduct an analysis of your entire compliance system or just certain areas to determine if there are regulatory shortcomings in your firm’s supervisory controls, or policies and procedures.
- Prepare a complete set of Written Supervisory Procedures which are tailored to your firm’s business.
- Review your existing Written Supervisory Procedures and provide feedback for improvements, if applicable.
- Conduct analysis of firm operations to identify potential conflicts of interest and how to address them.
Branch Office Inspections
- Conduct branch office exams as required by FINRA Rule 3110.
Regulatory Document Productions
- Work with Counsel on the preparation of a regulatory response to a regulatory inquiry and/or request, and work with Counsel on the preparation of documents for production to regulators.
- Work with Counsel to review and analyze documents related to regulatory inquiries to identify areas of concern or mitigating
On-The-Record Interview Preparation
- Work with Counsel to review documents and fact circumstances to prepare individuals for on-the-record interviews or sworn
- Work with Counsel to conduct internal investigations related to regulatory issues identified by the Firm and/or Regulators.
- Work with Counsel to assess the assertions made by regulators or claimants, and work with Counsel to provide expert testimony..
- Complete thorough analysis of emails as part of internal/regulatory investigation.
- Manage team of persons assigned to conduct email reviews:
• Prepare email review protocol.
• Spot check and provide guidance to review team.