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Company ProfileThe Financial Industry Service Group
(“FINSEG”) was formed to meet the needs of participants in the financial
services industry during this time of unprecedented change in our capital
markets. We bring over 30 years of combined regulatory and industry experience
in the areas of broker-dealer and investment adviser regulation, compliance,
financial services legislation, market structure, operations, and trading to
provide professional services to the various constituencies in the financial
services industry. We provide high
quality professional services economically keeping our overhead costs low and using
technology to monitor, research, and to communicate
efficiently with financial industry participants. At FINSEG, we offer extensive
experience on a wide range of issues, as well as strong relationships with
regulators and industry professionals. Since
the launch of FINSEG in October 2000, we have worked with broker-dealers, trade
associations, law firms, and market centers. Among other things, we have worked with a client to develop
guidance for agency-based trading in the Nasdaq Stock Market; provided
compliance guidance on investment advisory registration issues at the federal
and state levels; prepared Congressional testimony
on operational and market structure issues; drafted comment letters on SEC
proposals; analyzed proposed state legislation affecting the securities industry;
provided expert testimony on Forms U-4/U-5 related issues; undertaken a thorough
review and updating of employee outside business activities on behalf of an
international broker-dealer; conducted a review of surveillance
procedures and practices in the industry; benchmarked compliance procedures of a
retail financial services firm against other firms in the industry; prepared
materials and conducted training on the federal securities laws; updated firm
manuals; and prepared memoranda analyzing various issues including disclosure
requirements on Form BD and particular SRO rule requirements.
We offer competitive rates, prompt
turnaround, and flexible working relationships.
Please call us if we can help you meet the challenges presented
by these dynamic times.
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