Regulators do not discriminate

The regulations apply to all investment professionals big and small and everyone else in between. We take pride in knowing that our business model and pricing strategy provides access to comprehensive compliance and legal solutions for those seeking regulatory peace-of-mind.

What is it

Long term relationships are our foundation. As an extension of your team, we promise effective and knowledgeable solutions for you and your business. Our reputation and history of success with our clients and their business needs speaks for itself. There's no substitution for the best.

How we do it

The securities industry poses unique challenges and opportunities. Every day business matters that we work on demand that we partner with the best and brightest compliance professionals and attorneys. And we've been lucky enough to collaborate with the best minds in securities law.

Why we do it

Regardless of assets under management or budgetary constraints, you deserve more than a few forms and a checklist. Whether your business is looking to get started or it's in need of some regulatory direction and clarification, you can rest assured that we’re going to help you. We’re committed to providing you with top notch compliance and legal support and knowledge. We approach every client with a focus on integrity, advocacy, and understanding. 

CUSTOMIZED REGULATORY SOLUTIONS FOR THE INDEPENDENT INVESTMENT MANAGER

Comprehensive regulatory support you and your company can trust.

 

We bring what other firms lack: A dedicated team consisting of both experienced compliance industry professionals and investment attorneys with specific legal expertise to every client relationship. 


Often, more than one area of expertise is required. We eliminate the need for seeking various regulatory professionals and present clients with an affordable all-inclusive bundled solution. Our compliance consultants bring industry knowledge and hands-on compliance know-how while our group of attorneys provide customized legal analysis and rule interpretation. 


With Boston Compliance Associates, there’s no need to hire a multitude of professionals. All the right professionals are part of our team. This distinction is unique to Boston Compliance Associates. We can advocate and represent you in many areas of your securities business.

 
We serve a wide range of clientele, and every client relationship is valued greatly and treated with dignity and respect. Each engagement benefits from the depth and breadth of our expertise through the Circle of Compliance®.


relationship compliance

Ten step approach Circle of compliance®

Engagements begin with an On-Site Baseline Assessment. The Circle of Compliance® will help us take you to where you want to go. 


Baseline Assessment (1-3)

1. Conduct on-site regulatory assessment
2. Develop and deliver project proposal indicating areas of risk and scope of work
3. Execute engagement agreement

​Once we agree to a customized work and billing schedule we get to work.

 

Execution & Delivery (4-7)

4. Develop customized solution(s) per proposal analysis and client requests
5. Incorporate current regulatory changes and industry updates
6. Provide final work product 
7. Ensure detailed understanding of all deliverables including  written reports, updated policy and procedures, compliance
check-lists and other follow-up items

​The last phase includes assisting clients with annual and on-going compliance requirements.

 

Continuous Needs Analysis (8-10)

8. Conduct  internal compliance audit and assist with remediation items
9. Develop and execute a robust training program and test for competency 
10. Address other annual requirements such as certifications, legal contract review, ADV filing, and other regulatory updates throughout the year

​​​This work culminates into one major deliverable: a detailed compliance program that puts you on the road to achieving both your short-term and long-term business goals in a compliant sensitive manner.  

our unique business model

Boston Compliance Associates