|ATGS Compliance Solutions
Led by experienced former regulatory leaders and compliance professionals, ATGS Compliance Solutions provides efficient service on routine compliance issues as well as immediate and substantive plans and responses for sensitive regulatory matters.
Outsourced compliance solutions can be an economic and efficient alternative to hiring full-time employees dedicated to time-consuming audit, filing maintenance and regulatory inquiry projects. ATGS professionals can serve as immediate and credible representatives for clients when regulators arrive or initiate serious, time-sensitive compliance inquiries. ATGS personnel includes a former Missouri securities commissioner and North American Securities Administrators Association enforcement chair and board member, a former chief counsel for governmental affairs for the Missouri attorney general, the former longtime investigations manager of the Missouri Securities Division, and other veteran former regulators, public servants and compliance professionals. The experience, insights, creativity and contacts of these professionals can all be brought to bear in reaching practical and efficient resolutions for clients’ regulatory interactions and compliance responsibilities.
ATGS Compliance Solutions provides:
- ONSITE EXAM SERVICES for internal inspections or to assist with FINRA, state or SEC audits.
- COMPLIANCE REVIEWS and updates for written supervisory procedures, client agreements and other documents and processes.
- CONSULTANT AND EXPERT SERVICES for undertakings required by regulatory orders and for reports and testimony in arbitrations or regulatory hearings.
- FORMATION, REGISTRATION AND MAINTENANCE SERVICES for new firms and existing brokerages and advisers, including preparation and maintenance of Form BD, Form ADV and Form U4, and management of regulatory interactions on same.
- SERVICES ON “FOR CAUSE” ISSUES such as Heightened Supervision, for-cause regulatory exams, internal reviews and investigations, discharge or “permitted to resign” terminations, enforcement investigations, and other sensitive regulatory matters.
Representative and Planned Engagements
- Assist independent broker-dealer with branch office, non-supervisory branch office and non-branch office inspections in compliance with FINRA Rule 3110.
- Assist Missouri-based and California-based investment adviser firms with registration and compliance structure.
- Prepare, implement, document and complete reporting obligations for state-covered investment adviser with agent under Heightened Supervision Plan.
- Conduct searches and inquiries on new disclosable events in registered representative backgrounds for several broker-dealers.
- Analyze the compliance program of a state-covered investment adviser and prepare a report on enhancements and best practices as alternative to an enforcement action.
- Prepare required outside consultant’s report for state-covered investment adviser under consent order
Matt Kitzi / 573.659.6707
Judi Lahr / 573.690.9226