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