Our "A Team" of Executive Consultants & Instructors are here to help you with your firm's consulting and training needs.

The breadth of our specialized solutions includes:

  • Compliance
  • Due Diligence
  • Corporate Governance
  • Risk Management
  • SEC/FINRA registration
  • Energy/Renewables
  • Anti-Corruption
  • Anti-Fraud
  • Anti-Money Laundering
  • Asset Location and Recovery
  • Forensic Audits
  • Fraud Investigations

Our esteemed clientele includes:
  • Alternative Investment Firms
  • Banking Institutions
  • Broker/Dealers
  • Hedge Funds
  • Insurance Companies
  • Investment Advisers
  • Islamic Financial Institutions
  • Mutual Funds
  • Private Equity Firms
  • Training Institutes

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Consulting & Training Solutions

 

Investment Advisers (including hedge funds)
  • New state or SEC registration and compliance infrastructure setup
  • Conversion from SEC to state registration
  • SEC-mandated compliance monitoring
  • On-demand professional support during SEC sweeps
  • CCO compliance outsourcing services
  • SEC (206(4)-7) and state mandated annual compliance reviews
  • Independent best practices reviews (“mock audits”)

Broker Dealers (including M&A firms)

  • New broker/dealer registration and compliance infrastructure setup
  • FINRA 1017 application to purchase an existing broker/dealer
  • FINRA-mandated compliance monitoring
  • On-demand professional support during FINRA sweeps
  • CCO and FINOP outsourcing services
  • FINRA (3012/3013) mandated annual compliance reviews
  • Independent anti-money laundering audits
  • Independent best practices reviews (“mock audits”)

Investment Companies (including mutual funds and insurance companies)

  • SEC (38a-1) mandated annual compliance reviews
  • SEC-mandated compliance monitoring
  • Independent anti-money laundering audits

Specialized Consulting Services

  • Vetting and evaluation of 3rd party vendors
  • Due diligence reviews
  • Social media reviews
  • Fraud investigations
  • Forensic auditing
  • IT audits
  • Cross-border and multi-jurisdictional compliance
  • International and offshore regulatory regimes
  • OFAC screening audits
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E-Compliance SolutionsSM

In order to build and maintain your firm's culture of compliance, it is critical that your compliance program includes relevant technology solutions to test and monitor for effectiveness.  BCCP has strong strategic alliance partnerships with many well-respected, cutting-edge technology firms offering a diverse complement of e-compliance solutions. As a result, we are ready to assist you in the following ways:

  • 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 solutionsSM include the following:

  • Social media compliance
  • OFAC screening solutions
  • Anti-money laundering 
  • Risk management mitigation
  • Surveillance tools to monitor transactional activity
  • E-mail monitoring and retention
  • Electronic recordkeeping and storage solutions
  • System installation, conversion, and/or implementation

Don’t see what you’re looking for?  Contact us today!

With Us It’s All About YouSM


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