Participants in the financial services industry – one of the most heavily regulated – face complex, sometimes arcane and opaque laws, rules and regulations. Myriad regulators now focus on financial services providers and feel a mandate to conduct advisors’ audit, examination and oversight. With Rob Moses’ more than 20 years in-house work inside BDs and RIAs, he has deep and broad experience handling matters before the SEC, FINRA, the Department of Labor and state securities and insurance regulators. Rob has the skill and experience to help you proactively navigate all types of regulatory matters, including:
- 1017 Applications
- 3010 Requests
- Acceptance, Waiver and Consents
- Consent Agreements
- Customer Complaints to Regulators
- Deficiency Letters
- Enforcement Proceedings
- Enforcement Referrals
- Exit Conferences
- On the Record Interviews
- Regulator Audits
- Regulatory Inquiries
- Regulatory Investigations
- Sweep Exams
- Wells Notice and Wells Response
