Bekker Compliance Consulting Partners LLC - BCCP - E-compliance solutions

Menu of Compliance Consulting Solutions

BCCP and its “Core A Team” of Senior Compliance Consultants are here to help you with your regulatory compliance needs.

Clientele	Our Clientele SEC and state registered investment advisers Hedge funds (including Islamic-compliant hedge funds) Investment companies Mutual funds Insurance companies with variable insurance products Broker/dealers Nonprofit organizations Banking institutions Credit unions Institutional investors Alternative investment vehicles & platforms Exchange traded funds (ETFs) Dark pools Forex, commodities, and futures Public companies Educational institutes and universities Federal, state, and foreign regulatory agencies
Core Areas of Expertise	Our Core Areas of Expertise Anti-money laundering and OFAC compliance Bank Secrecy Act USA PATRIOT Act International and offshore regulatory regimes Cross-border global compliance e.g., SEC, FINRA, CFTC (US), FSA (UK), SFC (Hong Kong), MAS (Singapore) SEC laws and regulations: Securities Act of 1933 Securities Exchange Act of 1934 Investment Company Act of 1940 Investment Advisers Act of 1940 SEC Regulation S-P State Blue Sky laws and regulations State insurance laws and regulations FINRA rules and regulations NYSE legacy regulations National Futures Association (NFA) Commodities Futures Trading Commission (CFTC) SEC and FINRA “Post 9/11, Enron/Worldcom, mutual fund scandal” laws and regulations: Rule 38a-1 under the Investment Company Act of 1940 Rule 206(4)-7 under the Investment Advisers Act of 1940 NASD Rules 3012/3013 Sarbanes-Oxley Act of 2002
Our Services Our Regulatory Compliance Consulting Solutions E-Compliance Solutions^SM	Our Consulting Services Regulatory Compliance Consulting Solutions Compliance ConciergeSM – please contact us for details Compliance on CallSM – please contact us for details Outsourced CCO services Bekker Compliance Institute (BCI)SM – please contact us for details Education/training modules and webinars, customized to meet the client’s needs Team of highly qualified instructors delivers customized, risk-based, principles-based courses onsite Special emphasis on global AML compliance and how to audit Global compliance solutions Compliance consulting services in connection with risk-based policies and procedures for Islamic-compliance hedge funds Customized policies, procedures and manuals: Written supervisory procedures Broker/dealer manuals Investment adviser manuals Hedge fund adviser manuals Specialized policies and procedures for global firms needing “harmonization of laws” focus SEC and FINRA mandated compliance consulting Outsourced FINOP services Branch audits SEC Regulation D and state Blue Sky filings Due diligence packages: Mergers and acquisitions Cross-border transactions For institutional investors: hedge fund advisers For hedge funds: prime brokers Due diligence analytics Risk metrics “Focus” reviews: “look back” reviews Independent periodic reviews for firms needing a consultant as a result of an SEC or FINRA order requiring an independent review Annual independent anti-money laundering reviews Advertising compliance reviews Best execution reviews Mock audits “Best practice” reviews Risk-based independent testing SEC Rule 38a-1, 206(4)-7 and FINRA Rule 3012/3013 annual reviews, assisting your team with many of the labor-intensive annual review functions – for example: Gap analysis: Reviewing compliance procedures and corresponding operational procedures to determine whether there are any gaps or discrepancies, and to determine whether the operational procedures have sufficient internal controls as they relate to the internal controls in the compliance procedures; Conducting forensic testing for transaction-based procedures, including documenting findings and providing recommendations; and Assisting with service provider due diligence, including providing support during site visits and documenting the findings and recommendations; E-Compliance Solutions^SM In order to build and maintain your firm’s “culture of compliance,” it is critical that your compliance program includes a technology component. The SEC has made it clear, in many of its myriad speeches and press releases, that relying solely on manual processes to monitor and test procedures for effectiveness is not sufficient anymore. BCCP already has well-developed working relationships with many cutting-edge technology firms offering a diverse complement of e-compliance solutions. As a result, we are ready to assist you in the following areas: Consult with you to identify your firm’s specific e-compliance needs. Consult with BCCP’s third party e-compliance vendors to determine which solutions may be right for you. Liaise with you and with the e-vendors to arrange demos, so that you have the opportunity to evaluate viable e-compliance solutions. Consult with you and make recommendations based on your firm’s unique needs. Available e-compliance solutions include the following: Anti-money laundering compliance solutions Enterprise content management Surveillance tools to monitor transactional activity E-mail monitoring and retention Exception reporting Middleware to connect mainframe legacy systems to web-based applications
Global Alliance Partners	Services we offer through our Global Alliance Partners: Translators and translation services Arabic Mandarin Farsi French Greek Spanish Portuguese Legal services (through our Law Firm Consortium -- worldwide) General Business and Corporate Securities Private placement memoranda for hedge funds and other types of issuers IPOs Mergers & Acquisitions, including Reverse mergers Securities Litigation Paralegal services (under supervision of licensed lawyer) Entity formation, organization, administration, and maintenance Domestic -- all states Multi-state foreign qualifications Offshore International Federal and state Blue Sky filings M&A support Due diligence Secretary of State and Franchise Tax Board filings Certificates of Good Standing Closing documents Specialized documentation for cross-border transactions, including processing authentication of corporate documents which need Apostilles and/or Embassy approvals Intellectual property applications Trademark/servicemark Copyright Litigation support Deposition summaries Discovery Trial preparation Employment and clerical services Traditional recruiting for full-time permanent or temp-to-perm employment Screening, background searches, employment and education verification, reference checks Virtual assistants and receptionists Other specialty services Service provider procurement (including RFPs), due diligence, independent audits Software, hardware, middleware and web-based solutions Trading platforms Prime brokers Administrators “Go Independent” bundled service packages Transition from full-time employee to independent consultant Independent RIAs – hands-on assistance in converting from an IAR to an RIA