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As former Self Regulatory Organization ("SRO") regulators, we are experienced professionals who are qualified to assist you in properly responding to initial SRO surveillance inquiries and Wells Letters. We are also able to supplement your legal counsel in the various stages of the disciplinary process, including the negotiation of offers of settlement. Our experience with floor trading rules will help you ensure that the SROs are in fact considering the appropriate rules in their investigations and are interpreting those rules correctly.

InvestmentCare Consulting Group can save you time and money, as well as reduce your risk exposure by helping you more effectively deal with your regulators. For more information regarding our surveillance inquiry and disciplinary action services, please contact us at 818-386-6900.

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Written Supervisory Procedures are a necessary part of ensuring that all broker/dealers, including those that are trading floor-based, have adequate and documented internal controls over their operations. InvestmentCare Consulting Group can review your existing WSPs or develop customized WSPs to meet your specific needs. Our customized WSPs will:

  • Cover all services offered by the firm, whether market making or floor brokerage
  • Describe each supervisory duty to be conducted, list the names of the personnel with supervisory responsibility, describe what documents and information will be reviewed, detail when and how often each review will be conducted, and list how the each review will be documented

In addition to developing new or customized WSPs, InvestmentCare will also able to:

  • Assist with the implementation of the WSPs
  • Advise of changes and updates to SRO rules as they apply to your firm
  • Update your WSPs going forward to reflect changes to your business or new regulatory requirements
  • Assist in establishing policies and procedures for new products/services

InvestmentCare Consulting Group can save you time and money, as well as reduce your risk exposure by preparing sound and reliable WSPs for your current or new lines of business. For more information regarding our supervisory procedure services, please contact us at 818-386-6900.

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As a compliment to our Written Supervisory Procedure services, we are able to provide a solid operational foundation supporting your WSPs. Our experience in developing internal supervisory and surveillance processes will ensure that your internal compliance system is practical and effective, and assist you and your firm mainatin full compliance with all applicable rules and regulations.

InvestmentCare Consulting Group can save you time and money, as well as reduce your risk exposure by making sure your internal supervisory and surveillance processes are appropriate and functional. For more information regarding our internal supervisory and surveillance system services, please contact us at 818-386-6900.

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As former NASD and exchange regulators, we are experienced professionals who are qualified to conduct specialized research, investigations, and analysis on a variety of issues. Our unique regulatory experience enables us to provide a variety of services such as:

  • Assistance in providing comments on proposed SRO rule changes that might have an impact on your business
  • Identification and analysis of potential "breeding grounds" for trading violations such as: manipulation, due diligence violations, order misrepresentation, unauthorized transactions, etc. before such activity occurs and comes to the attention of regulators
  • Investigation of alleged trading violations at the earliest stages to minimize exposure to the firm
  • Resolution of Net Capital violations and accounting reconciliation
  • Internal audits and reviews of books and records

InvestmentCare Consulting Group can save you time and money, as well as reduce your risk exposure through our research, investigatory, and analytical services. For more information regarding our special investigation program, please contact us at 818-386-6900.

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As former NASD and exchange regulators who have testified in a variety of forums including federal courts and arbitrations, we are able to tap a broad range of regulatory experience to help you maximize your defense in arbitrations and SRO actions. Our hands-on experience with trading floor environments, surveillance systems, and enforcement processes can provide a valuable compliment to your legal representation.

InvestmentCare Consulting Group may be able to help you increase the effectiveness of your legal defense. For more information regarding our expert testimony services, please contact us at 818-386-6900.

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