Services

We offer clients the depth and experience that may be expected of large consulting companies with personal attention, tailored services and competitive rates. Our vast industry and regulatory experience allows us quickly identify areas of regulatory exposure and provide workable, business friendly, risk mitigation solutions, aimed at protecting your firm and management team from regulatory and legal challenges. Our principal consultant has extensive industry and regulatory experience; knowledge of SEC, FINRA, Federal Reserve Bank, Office of the Comptroller of the Currency (OCC)  rules and Bank Secrecy and Patriot Act compliance requirements; as well as extensive experience in international private banking, doing business offshore and cross border transactions. We are nimble and unlike the larger consulting firms, our business model and strategic alliances enable us to staff your project with consultants that have experience and expertise in the areas or subject matters specific to your project’s requirements.

Having reviewed, or supervised regulatory audits of the compliance programs for hundreds of different types of firms in the securities industry, we bring valuable insight that allows us to provide best practice recommendations for your business. Our services are offered under an hourly, per project or retainer arrangement. Please contact us for a written proposal setting forth the scope of work and fees.

Our services include:

  • Bank, Broker Dealer and Investment Advisor regulatory and market consulting services and Anti Money Laundering (AML) compliance solutions
  • Independent Consultant in SEC/FINRA Actions/Settlements
  • Assistance with Regulatory Investigations, Look Backs and Remediation Mandates
  • Internal Investigations of fraud, embezzlement, theft, employee dishonesty, Insider Trading, customer complaints involving large losses, or other sensitive matters
  • Expert witness and securities litigation support in banking, and securities industry cases and FINRA arbitrations
  • Outsourced Compliance Functions
  • Customized In-House Training

 

V&V Consulting is not a law or accounting firm and therefore, we do not render legal, or accounting advice.