To meet the ever-changing regulatory and compliance requirements of global exchange and OTC markets, LAI's consultants, working and independently or collaboratively, provide clients with focused compliance expertise over the full range of global markets and the full range of participating enterprises.
Broker-Dealer, Financial Institution and Industrial and Agricultural Enterprises
LAI offers a broad range of services to Investment Advisers. This list is not all inclusive, as we tailor our services to fit the needs of your organization.
IA Registration and updates to Form ADV;
Compliance Policies and Procedures;
Mock SEC Exam;
Code of Ethics
Annual Review Requirement;
Personal Securities Transaction Review;
Consulting on compliance issues specific to your organization; and
Focused reviews covering areas of heightened SEC concern, such as trading practices, portfolio management, outsourcing services, safeguarding client funds and securities, performance reporting and valuation.
LAI can provide targeted services or on-going support. With our services, you can meet the operational and regulatory requirements that apply to your firm in a cost effective manner.