General Counsels and Chief Compliance Officers
Our General Counsels and Chief Compliance Officers (“CCOs”) are experienced and diligent at keeping your business at ease and within the bounds of the law. At MAH Advising, we offer talented, industry-experienced attorneys and CCOs that will quickly become an integral part of your organization.
A client base of disaffected clients grew weary of the disinterested, noncommittal, template-based, billing hourly compliance consulting model. Traditionally, these legacy providers issued generic advice following public filings by the SEC, only to disappear when it came time to explain or implement policies to financial institutions or regulators. In designing our full-service general counsel and CCO solution, we wanted to offer complete accountability, fixed costs, and full engagement on our end.
General Counsel and CCO Services
As regulation continues to expand at a rapid pace, firms should have policies and personnel up to date, so that they can maintain growth, protect clients, and comply with SEC, FINRA, and CFTC requirements. Broker-dealers and investment advisors can benefit from MAH Advising’s proactive and custom-tailored.
When you work with MAH Advising, you’ll always be able to access professionals who have extensive experience no matter what solutions you’re seeking. Our services include leveraging the expertise and experience of firms like Vigilant so that existing employees can be utilized for other tasks. You can use MAH Advising’s experience rather than building a cost center, which is far more cost-effective.
MAH Advising’s role as General Counsel and CCO is to:
- Give proactive and custom-tailored legal advice
- Assist with CCO compliance according to SEC or state regulation requirements
- Conducting correspondence reviews both inbound and outbound
- Testing and risk assessment
- Conducting reviews on-site as well as remotely
- Conducting a review of new accounts
- Reviewing your marketing strategy
- Reviewing compliance programs
- Assisting you in responding to SEC and/or state regulator examinations and information requests
- Reviewing trade agreements
- Maintaining an ongoing reporting system for violators and make recommendations for corrective action
- Supporting SEC, state, and regulatory examinations and compliance matters
- Ensuring that a thorough compliance program is developed and maintained
- Complying with policies and procedures according to test results
- Completing all regulatory filings
- Providing Regulatory Alerts and Updates
- Providing training to employees
MAH Advising Take a Different Approach:
RIAs of every size and shape have employed MAH Advising’ to get the knowledge and experience of several attorneys when you hire just one. To be effective, MAH Advising stays on top of all proposed and updated regulations, ensuring that your firm is in strong standing with both proposed and final regulations. Our news and updates are filtered by regulatory requirements to find the ones you need to know.
Why You Need General Counsel and Chief Compliance for Your Firm
Your compliance department plays an important role in the management structure of your company, according to regulators. Regulations and legal obligations are becoming increasingly complicated every year. Rapid changes to regulation and rules and reporting puts your firm at risk.
We at MAH Advising are ready to help your investment adviser or broker-dealer to implement procedures that will ensure your firm’s culture and growth is protected.
MAH Advising’s includes industry leaders dedicated to protecting your firm through the strategic development of new procedures, modifying or testing existing systems and procedures, ensuring team leadership to inexperienced personnel, and preparing for upcoming changes. This can all be accomplished with our General Counsel and Chief Compliance Officers.