Regulatory Compliance Services
SDDCO Regulatory Services LLC (SDDCO-RS)
SDDCO Regulatory Services LLC ("SDDCO-RS") gives expert compliance guidance and ongoing onsite assistance to emerging securities firms, FINRA member broker/dealers, registered investment advisors, hedge funds, private equity and other investment establishments. SDDCO-RS consultants can facilitate your startup or support ongoing adherence to applicable regulatory rules and requirements.
SDDCO-RS Our Services, Our Clients, Our Approach
Broker Dealer Services
SDDCO-RS delivers regulatory compliance expertise to new and existing broker/dealers to achieve complete compliance with applicable FINRA and SEC rules. Among our many services, SDDCO-RS professionals can serve as your FINRA CRD Administrator, facilitate your Written Supervisory Procedures, execute your Annual Review of Business Operations, review your supervisory controls, test your Anti-Money Laundering program, help to develop and deliver your Annual Compliance Meeting and Continuing Education program, and guide your CCO through regulatory exams. SDDCO-RS can also coordinate your broker/dealer startup and vigilantly pilot your firm through the extensive FINRA New Membership Application process or assist you with the Continuing Member Application to materially expand your business operations.
Investment Advisor Services
SDDCO-RS offers consulting services to SEC or state-registered investment advisors to reorganize business and operational processes and satisfy regulatory requirements including the mandates of the Investment Adviser Act of 1940. Our consultants can work closely with you to maintain all aspects of your firm’s compliance, such as to act as your Web IARD representative, help to develop and test the effectiveness of your Policies and Procedures, prepare or amend your regulatory documents, review your marketing and communication material, and customize your Business Continuity Plan. SDDCO-RS compliance professionals also provide expert advisor registration services with the SEC and state regulatory bodies.
Hedge Fund Services
SDDCO-RS grooms managers of hedge funds and other private funds to establish and retain an infrastructure of accountability and compliance. Partner now with SDDCO-RS to comply with current regulatory recommendations and requirements, to satisfy heightened investor demand for transparency, and to anticipate industry legislative reform. Our experienced compliance consultants will help you develop a Compliance Manual customized to your unique business operation, including portfolio management, trading policies, Anti Money Laundering procedures, safeguards of records and data, and your company Code of Ethics. Rely on SDDCO-RS to help you reduce areas of risk, identify practices deemed problematic by regulators, and understand or undertake the steps toward investment advisor registration.
Our Clients
SDDCO-RS specializes in regulatory issues for B/Ds, RIAs, IAs, private funds and other investment establishments.
Our clients are skilled in their respective fields of Institutional Sales & Trading, Proprietary Trading, Investment Banking, M&A Advisory, Fund Managment, and Third-Party Marketing to name a few. Many function as the U.S. arm of an international firm; others are privately owned. While highly specialized, our clients share a common desire…to strive for excellence in business. They also share a common need...to hire compliance experts who understand their unique businesses.
Our Approach
SDDCO-RS tailors its expertise to fit your particular business model and to help you accomplish the goals of your compliance department.
We begin each engagement by collaborating with management to develop an inventory of applicable compliance requirements within the firm. We then peg the status of each requirement and plan strategies to achieve ongoing compliance. Our consultants can work for you and with you to achieve compliance with the rules of the Financial Industry Regulatory Authority (“FINRA”), the U.S. Securities and Exchange Commission (“SEC”), other Federal Functional and state regulatory authorities. [The FINRA Rulebook consists of NASD Rules and certain NYSE Rules that FINRA has incorporated.
We are proficient at updating policies and procedures, educating your staff, and documenting your compliance efforts. Our professionals will perform specific functions on behalf of your firm; monitor functions performed internally; and continually advise and reassess your needs. Our consultants study your company and connect with your management onsite to achieve a culture of compliance throughout your organization.
We are proficient at updating policies and procedures, educating your staff, and documenting your compliance efforts. Our professionals will perform specific functions on behalf of your firm; monitor functions performed internally; and continually advise and reassess your needs. Our consultants study your company and connect with your management onsite to achieve a culture of compliance throughout your organization.
Our clients confirm that our hands-on method works best. We schedule onsite visits and give ongoing support via phone, email, and ad-hoc meetings. We do not sell one-size-fits-all compliance publications or provide anything "off-the-shelf". This personalized compliance support compliments our customized accounting and FinOp services. Engaging an interdepartmental team of SDDCO professionals is value-added and enables superior navigation across intricate financial, accounting and regulatory matters.