PROVIDING COMPLIANCE SOLUTIONS
PROVIDING COMPLIANCE SOLUTIONS
PROVIDING COMPLIANCE PRODUCTS & SOLUTIONS
PROVIDING COMPLIANCE  PRODUCTS & SOLUTIONS 

COMPLIANCE

 

Investment Advisory & Private Equity Firm Services

  • Constitutive Formation of Investment Adviser
  • Preparation and Filing of Form ADV, Parts 1 & 2
  • Annual Regulatory Filings
  • 206(4)-7 Annual Reviews
  • Customized Preparation of Compliance Policies and Procedures, and Manuals
  • Regulatory Examination: Preparation, Coordination, Oversight, and Remediation
  • Mock Examinations
  • Internal Compliance Audits
  • Marketing and Advertising Review
  • Trading: Best Execution, Trade Allocation, Side-by-Side, and Soft Dollar
  • Sub-advisory Monitoring and Oversight
  • Establishment and Monitoring of Comprehensive Compliance Program
  • Code of Ethics
  • Chief Compliance Officer and Compliance Support (Outsourced CCO)
  • Training and Education
  • Business Continuity
  • Cybersecurity
  • Anti-Money Laundering Compliance, and Testing
  • Books and Records Practices
  • Automated Technology Solutions Counseling
  • Navigating DOL Proposed ERISA Fiduciary Responsibility Rule

 

Mutual Fund Services

  • 38a-1 Program Establishment, Annual Compliance Review, and Annual Report
  • Due Diligence Review of Key Service Providers
  • Distribution Arrangements and Sales Practices
  • Regulatory Filings

 

Broker Dealer Compliance Services

  • Formation of Broker-Dealer
  • Preparation and Filing Form BD
  • Preparation and Filing FINRA Membership Agreement
  • Customized Written Supervisory Procedures
  • Customized Registered Representatives Handbook
  • Conducting FINRA Rule 3120 Annual Compliance Review, Gap Analysis, and Testing
  • Conducting Branch and Remote Office Examinations
  • Maintenance of Books and Records Practices
  • Complaint processes, procedures and Rule 4530 filings
  • Email Reviews
  • Personal (Employee) Securities Transactions Review
  • Expert Witness
  • FINRA & SEC Independent Consultant
  • Internal Audits
  • Licensing & Registration
  • FINRA Web Central Registration Depository (CRD) Filings
  • Trade Reporting
  • Regulatory Remediations
  • Whistle Blower Investigations
  • Training and Education

GOVERNANCE

  • Assessment of Key Internal Controls Systems
  • Assessment of Board Structure
  • Management Controls

RISK MANAGEMENT

  • Regulatory Compliance Risk Assessments
  • Risk Assessments
  • Portfolio Management and Trading Risk Exposure
  • Identification and Mitigation of Key Risks

CONTACT US

Augusto “Gus” Macedo

Managing Director

 

11201B Lockwood Drive

Silver Spring, Maryland  20901

Tel: 301-523-6427

 

AMC classified NAICS codes:

  • 522120 - Savings Institutions
  • 522130 - Credit Unions
  • 523110 - Investment Banking and Securities Dealing
  • 523120 - Securities Brokerage
  • 523210 - Securities and Commodity Exchanges
  • 523910 - Miscellaneous Intermediation
  • 523920 - Portfolio Management
  • 523930 - Investment Advice
  • 523991 - Trust, Fiduciary, and Custody Activities
  • 523999 - M
  • 522110 - Commercial Banking
  • iscellaneous Financial Investment Activities
  • 524113 - Direct Life Insurance Carriers
  • 524210 - Insurance Agencies and Brokerages
  • 525110 - Pension Funds
  • 525910 - Open-End Investment Funds
  • 611430 - Professional and Management Development Training

 

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