Compliance risk is a fact of life for investment advisers and broker dealers.

FINRA rules and SEC regulations have been referred to as a “crazy quilt” of rules and directives. Keeping up with the changes and complexities is no easy challenge, and those complexities represent risk.

How confident are you in your firm’s full compliance with the laws and rules that apply in today’s regulatory environment? Are your compliance records accurate? Is there continuity and consistency in your compliance process? Have you considered the need for disaster recovery in your compliance program?

At Hardin Compliance, our risk assessment process helps you identify your firm’s key regulatory risks and evaluate whether your policies and procedures adequately address them.

Our Team is Your Team

Our compliance consulting team consists of former in-house securities attorneys, senior compliance managers, compliance professionals, and senior audit professionals from prominent financial institutions. Visit our Team page to learn more.

When you work with Hardin Compliance, our experts analyze the rules and apply them to your firm’s business operations, while minimizing your regulatory compliance risk.

We’ll look at your key risks, including:

  • Accuracy of disclosures
  • Business continuity and disaster recovery plans
  • Portfolio management processes
  • Safeguarding of client assets and information
  • Supervision
  • Trading practices and execution
  • Valuation
  • Conflicts of interest

These risks are then ranked, based on the probability of occurrence, severity of sanctions, and possible impact on your business. We evaluate how (and if) your compliance program mitigates these risks.

Finally, we provide advice on how to improve your policies and procedures in ways that address your most pressing risks.

Compliance Risk Changes Every Year

Once you have things handled, it’s time to start updating and revising. Periodic risk assessments give you the opportunity to compare where you stand in relation to changing laws, regulations, and best practices. It also allows you to assess the effectiveness of existing risk strategies and look ahead to identify new and emerging risks.

Isn’t it time you worked with a forward-thinking firm, one with the experience and dedication to help you meet your goals.

We’re ready to help. Call our main office at 724-935-6770 or visit our Contact Us page today.