Proactive Compliance and Risk Management
Stay ahead of industry regulations and protect your enterprise.
Compliance Services For Your Regulated Entities
Offered through Kessel Advisory Services, a Colorado Limited Liability Company, under common control with Kessel Law.
Compliance Development and Advisory Services
The compliance services are focused on broker/dealers and investment advisers. Compliance services may also be provided to other financial services firms.
Broker/Dealer (“BD”)
- BD Formation/Filing
- Written Supervisory Procedures (“WSPs”)
- Customer Onboarding Procedures and Agreements
- Customer Disclosures and Worksheets
- Compliance inspections per FINRA Rules 3110/3120
- AML inspection per FINRA Rule 3310 and FINCEN Standards/Guidance
- Outsourced Chief Compliance Officer Appointment
- Compliance Training & Education
- BD Business Expansion/CMA Filings
- Form BD Amendments
- Branch Office Inspections
- Rep Registration (U-4 & U-5 Filings)
- Trade Surveillance System Implementation Support
- FINRA Gateway Administration for BDs and their Reps
- Firm Chaperoning for SEC and FINRA examinations
- Software implementation support
- CRM System Configuration Support
- Marketing Review
- Legal Services provided by Kessel Law PLLC
Registered Investment Advisers
- Compliance Procedures
- New Investment Adviser (“RIA”) Formations
- Compliance inspections per Investment Advisers Act Rule 206-4(7)
- RIA Form ADV Amendments
- Outsourced Chief Compliance Officer Appointment
- Compliance Training & Education
- Software implementation support
- CRM System Configuration Support
- IARD Administration for RIAs and their Reps
- Customer Onboarding Procedures and Agreements
- Customer Disclosures, Worksheets and Investor Policy Statements
- Chaperoning for Regulatory Examinations
- Marketing Review
- Legal Services provided by Kessel Law PLLC
Exempt Reporting Adviser (“ERA”)
- ERA Formation/Filing
- Compliance Procedures
- Compliance Inspections
- Compliance Training & Education
- Ad Hoc Advice
- Chaperoning for Regulatory Examinations
- Legal Services provided by Kessel Law PLLC
Municipal Adviser (“MA”)
- MA Formation/Filing
- Compliance Procedures
- Compliance Inspections
- Compliance Training & Education
- Ad Hoc Advice
- Chaperoning for Regulatory Examinations
- EDGAR Filings for the Firm and their Representatives
- Legal Services provided by Kessel Law PLLC
Other Clients Served
- Family Offices
- Venture Capital Advisers
- Venture Capital Operating Companies
- Investment Banks
- Insurance Companies
- Insurance Agencies
- Payment Services Companies
- Fintech Companies
- Legal Services provided by Kessel Law PLLC
Disclosure
Client confirms that there is no conflict of interest with ACA Global, a compliance consultancy firm, and Client is neither a current client of ACA Global, nor does it contemplate becoming a client of ACA Global. If Client were to establish a relationship with ACA Global, then we would terminate our agreement so that there is no actual or perceived conflict of interest between Kessel Law and ACA Global with respect to you, the Client.
Request a Formal Legal Proposal
Ready to request our compliance and risk managment services? Submit your requirements now.