Services Offered ::.

Catherine Hanks is a senior securities compliance professional with 30 years in broker-dealer and investment adviser regulatory affairs. Ms. Hanks has worked in the retail financial services business with firms that specialize in cross-selling securities to core customer groups.

In her 30 years in the business, Ms. Hanks has worked for Calvert Group, Northwestern National Life Insurance Company, Citibank, and most recently for Credit Suisse in Zurich Switzerland. At each firm she has been at forefront of emerging regulation, whether it was the demise of Glass-Steagall and birth of Gramm-Leach-Bliley at Citibank, or the integration of US Patriot Act and Swiss Anti-Money Laundering laws at Credit Suisse. In her role as Compliance Consultant, Ms Hanks has established broker/dealers, and Registered Investment Advisers and assisted those companies in the creation of sound compliance processes and cultures. She has also helped firms rebuild compliance programs after unfavorable determinations and deficiencies from the FINRA and the SEC.

Employed by bank-affiliated, insurance-affiliated and money management firms as head of Operations, Due Diligence, Training, Financial Planning & Compliance Departments, Catherine has expertise in:


FINRA Conduct Rules
BD/IA Compliance Integration
Investment Adviser's Act of 1940
Retail Broker Dealer Supervision
Regulatory & Internal Audit Management
Global Custody & Securities Settlements
Wrap Products
Product Due Diligence
Retail Mutual Fund Sales
AML Design/Implementation
Variable Insurance Product Sales
Limited Partnerships/Structured Products

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Privacy Policy

I am committed to maintaining the highest level of confidentiality in all conversations and dealings with prospective clients, clients, partners, affiliates and strategic alliances.[Click for More]

Services / Skill Set

BD and RIA mock regulatory examinations, SEC and FINRA
FINRA Rule 3012/3013 Testing and
Reporting
Investment Adviser’s Act Rule 206(4)-7 Review
Routine Branch And OSJ Audits

Fostering a culture of compliance by the effective dissemination and communication of regulatory requirements and compliance strategy, policy and processes.[Click for More]

Areas of Expertise

FINRA Conduct Rules
Investment Adviser's Act of 1940
SEC 1933 and 1934 Acts
Regulatory Integration of Brokerage and Investment Adviser Activity[Click for More]