Compliance Consulting Services
Our compliance team takes a proactive approach by helping you to understand the rules and regulations that impact your lines of business and design the policies and procedures to create a culture of compliance in your company.
We have a diverse background of experience in the broker-dealer, RIA and insurance spaces which enable us to combine our knowledge and experience with well-known industry resources to reduce risk for your firm and more importantly-protect your customers.
Compliance is ever growing and changing, so let us help you with your compliance program so that you can focus on growing a successful business! Some of the areas of compliance we can assist you with include:
- Compliance Manual Design, Maintenance, and Testing
- Annual Compliance Training and Employee Certifications and Questionnaires
- Ongoing Review and Approval of: Outside Business Activities, Outside Brokerage Accounts, Gifts & Entertainment, Personal Securities, Transactions, Political Contributions, Private Securities Transactions
- Review and Approval of Marketing, Advertising, Client Presentations and Materials
- Due Dilligence
- Regulatory Filings for Broker-Dealers, RIAs and their Associates
- AML and OFAC Reviews; AML Independence Audit Coordination
- Supervision of all Electronic Communications Approved for Business Use
- SEC, FINRA, State Insurance or Investment Division Examination and Inquiry Support
- Coordination of Responses
- Employee Training and New Employee Onboarding
Expert Witness Services
American Elm Advisors provides Expert Witness consulting and testimony for arbitration cases in the investment and insurance industries. As an expert witness, we will apply our vast knowledge and experience interpreting and applying the rules and regulations of FINRA, SEC, and Departments of Insurance to give our professional analysis frequently required to successfully support a claim against suspected firm or representative wrongdoing. Our independent review of the documentation, combined with years of industry experience, our team can assist with cases involving regulatory topics such as suitability, fraud, theft, forgery, exploitation of seniors, failures to supervise, and insider trading.Contact Us