Services Offered ::.

  • 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
  • Managing Change To A New Clearing Firm
  • Conducting Due Diligence On Brokerage Firms And Investment Advisers To Acquire
  • Acceptance, Waiver and Consent Projects
  • "For Cause" Investigations
  • Registering BD and IAs
  • Developing and Tailoring Written Supervisory Procedures
  • Firm-wide Supervisory Structure assessments
  • Sales Literature and Advertising Review and Approval
  • Books and Records Set Up for newly registered BD's and RIA's
  • Operations Controls Reviews
  • Private Placement and Reg. D Compliance
  • Continuing Education Program Design and Review
  • Business Continuity Planning
  • CCO Recruiting and Placemen

Skill Set ::.

Fostering a culture of compliance by the effective dissemination and communication of regulatory requirements and compliance strategy, policy and processes.

Translating legal and regulatory requirements into efficient sales and operational policies and procedures for business lines

Maintaining positive relationships with regulators and auditors.

Integrating securities~banking and US~foreign regulation.

Managing compliance department personnel, responsibilities, and budgets.

Developing meaningful supervisory and document production procedures and systems.

Creating integrated sales systems for new products and services.

: Quick Read :

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]

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]


Catherine Hanks is a senior securities compliance professional with 30 years in broker-dealer and investment adviser regulatory affairs.[Click for More]