We support municipal advisors throughout the business life cycle, from start-ups needing registration services or a new compliance program to mature businesses looking for help in the ongoing administration, monitoring and testing of their compliance program. We offer senior-level compliance expertise to help you anticipate and navigate risks and ensure compliance with applicable laws, rules and regulations. We serve a broad range of clients, including traditional dealer and non-dealer municipal advisors, and third-party solicitors.

How We Can Help

With over 275 years of cumulative financial services experience, the Alaric Compliance team has completed more than 100 exams as CCOs, and 500+ reviews and exams as regulators and advisors. Our solutions are tailored to meet the specific needs of our clients and are built on a longstanding foundation of experience and quality control processes.

We have the proven skill set to help municipal advisors test, manage and monitor their compliance programs before issues turn into violations. We can chaperone scheduled or surprise audits, tests and examinations and leverage our proven procedures and technology platform to monitor ongoing activities.

Services

Full Chief Compliance Officer Outsourcing


New Municipal Advisor Firms

  • SEC Registration Services
  • MSRB Registrations Services
  • Compliance Policy and Procedures Development
  • Code of Ethics Development, including Conflicts of Interest
  • Compliance Calendar and Testing Program Development
  • Compliance Orientation and Training

Ongoing Compliance Program Support

  • New MA-I filings
  • Amendments to Forms MA and MA-I
  • Amendments to Form A-12 and Annual Affirmation
  • Ongoing Compliance Program Monitoring and Testing
  • Code of Ethics Administration
  • Compliance Training
  • Compliance Consulting

Examinations and Reviews

  • Regulatory Examination Support and Deficiency Response
  • Mock Regulatory Examinations
  • Annual Compliance Reviews
  • Focused Reviews, including Political Contributions, Books and Records, and Advertising
  • Compliance Program Reviews
  • Risk Assessments
  • Fiduciary Reviews, Analysis and other Related Compliance Consulting
  • Anti-Money Laundering Rule Reviews

Post-Litigation Support

Alaric has the reputation and expertise to serve as the compliance consultant in settled SEC, CFTC and FINRA administrative enforcement proceedings.

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