Points of Contact ::.

Email: info@catherinehanks.com

Phone: 301 770 0549

Cell: 301 300 5541

Skype: icompli

ichat: icompli

Address:
Catherine H. Hanks
5801 Nicholson Lane, Suite 920
North Bethesda, MD 20852

Resume: Catherine H. Hanks word doc

Resume: Catherine H. Hanks pdf

 

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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]

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]

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]