Securities Regulation and Compliance Consulting
I am available (remote or onsite) for consulting on securities regulation and compliance matters. My speciality is training attorneys, compliance managers, analysts and paralegals (both hands-on and in a classroom setting) in corporate governance, compliance and regulatory filings for investment companies and other related entities. I can evaluate your team or department and recommend staffing changes/reorganizations (including preparing detailed individual development plans for each team member) and create team succession plans. Companies often retain me to assist with new or complex legal filings (I create and document a process, take the team through the first filing and teach the team how to complete that process in the future) or simply to help out with overflow during the busy season or due to turnover. I also evaluate/create processes and procedures and design workflows. I can provide consulting services with regard to the following activities:
- SEC regulatory filings (Forms N-1A, PF, ADV, N-PX, N-SAR, N-CSR, N-MFP, etc.)
- Periodic financial reports
- Corporate contracts (including investment advisory agreements)
- Proxy voting
- Records management
- Policies and procedures
- 38a-1 programs
- Codes of ethics
- Personal trade monitoring
- Board governance
- Corporate secretarial services
- Blue sky
- CFTC filings
- Ticker symbols and tax IDs
- FINRA reporting
- Compliance training
- Contracts management
- Email monitoring
- Personal private information (PPI) data security
- Technology issues (prospectus builder implementation, compliance monitoring software, virtual training)
- Other services
Contact me to discuss your particular needs. References and work samples available upon request.