BUSINESS CLIENTS

REGULATORY COMPLIANCE SPECIALISTS, LLC provides a full range of services for Broker/Dealers, Investment Advisers, Investment Companies, Banks, Credit Unions, Investment Banks, Hedge Funds, Service Corporations and Insurance Companies & Insurance Agencies. The following list is illustrative of the products and services provided, but does not represent a complete list. If you have any questions regarding the financial services industry generally, please contact RCS.

COMPLIANCE PRODUCTS & SERVICES

Broker/Dealers

• Overall Compliance Review & Testing
• Form BD Registration & Amendments
• Business Expansion Plans
• Advertising & Seminar Review
• Continuing Education Needs Analysis
• Compliance Training of Reps
• Compliance Conference Speaker
• Written Supervisory Procedures Development & Review
• Branch Office Audits
• OSJ & Home Office Audits
• Testing & Verification of Supervisory Controls
• Risk Assessments
• Solicitor Procedures for Investment Advisory Services
• Anti-Money Laundering Procedures & Audits
• Expense Sharing Compliance Review
• Regulation SP & Other Privacy Regulations-Procedure Development & Review
• Web Site Compliance Review
• Compliance Information Technology Review
• Non-US Broker/Dealer Operations & Procedures

Investment Advisers

• Form IARD Registration & Amendments
• Form ADV & Schedules
• Written Supervisory Procedures Development & Review
• Code of Ethics
• Trading Policies
• Aggregation & Order Handling Practices
• Trade Allocation Review
• Risk Assessments
• ERISA Compliance Review
• Custodial Operations Review
• Hedge Fund Adviser Registration
• Hedge Fund Compliance Development & Reviews
• WRAP Fee Program Review
• Solicitor Operation & Disclosures
• Anti-Money Laundering Procedures & Audits
• Privacy Policy Review
• Annual Reviews
• Web Site Compliance Review
• Compliance Information Technology Review

Investment Companies

• Codes of Ethics
• Written Supervisory Procedures Development & Review
• Registration & Registration Exemption Analysis
• Independence Review & Audit
• Operational Audits
• Risk Assessments
• Portfolio Trade Practices Review
• Soft Dollar Practice Review
• Privacy Policy Review
• Investment Advisory Relationship Review & Formulation
• Custody Formulation & Review
• Web Site Compliance Review
• Compliance Information Technology Review

Hedge Funds and Their Advisers

• Evaluate Investment Management Process
• Evaluate any Side-by-Side Management Issues
• Evaluate Conflicts Controls & Disclosures
• Evaluate Trading & Brokerage Issues
• Evaluate Custody Procedures & Controls
• Evaluate Code of Ethics
• Evaluate Fund Structure Being Advised
• Evaluate PPM and Private Fund Exemption Controls
• Evaluate Lockups & Disclosures
• Evaluate Bicameral Operations of Regulation S/Regulation 144A Offerings
• Evaluate Client Communication
• Evaluate Customer Reporting & Valuation Matters Evaluate Form ADV
• Client Management Agreement & Compliance Procedures

Banks

• Operational Review to Ensure Compliance with Regulations of the Federal Reserve Bank, FDIC, OCC, OTS, among others.
• Gramm-Leach-Bliley Act Compliance Review
• Investment Program Formulation & Review
• Business Plan Development
• Analysis of 3rd Party Broker/Dealers
• Marketing Compliance Formulation & Review
• Referral & Incentive Practices Review
• Analysis of Trust Department Operations
• Bank Portfolio Trading Practices Review
• Investment / Merchant Banking Operations Compliance Review
• Web Site Compliance Review
• Compliance Information Technology Review

Credit Unions

• Review of Credit Union Operation to Ensure Compliance with NCUA Regulations
• Investment Program Formulation & Review
• Business Plan Development
• Analysis of 3rd Party Broker/Dealers
• Web Site Compliance Review
• Compliance Information Technology Review

Insurance Companies & Agencies

• Market Conduct Reviews
• Market Structure
• Compliance Procedures
• Networking & Affinity Marketing
• Procedure Reviews per IMSA and other Standards
• Product Design & Filings
• Management & Agent Consultations
• Web Site Compliance Review
• Compliance Information Technology Review