Finseg Offers Comprehensive Compliance and Risk Assessment Services

Settlement-Related Regulatory Reviews

Administrative orders often require an independent consultant to review policies, procedures and processes, and to make recommendations to strengthen controls in areas where deficiencies have been detected. Finseg has served as independent consultant for numerous firms and SROs on a wide range of issues and program areas. In each instance, as required by the order, Finseg has been deemed acceptable by the relevant regulator.


  • First and foremost, Finseg complies with the directives of the order and maintains that focus and scope throughout the review process;
  • Finseg gains a comprehensive understanding of the practices and operations of the firm, specifically in the area of the order, and develops a written plan to be followed during the review process; and
  • Finseg interviews relevant personnel, reviews pertinent documents, and tests practices and policies of the firm, culminating in a comprehensive written report to the firm and the relevant regulator(s).

During reviews, Finseg provides regular feedback enabling firms to achieve compliance and demonstrate prompt corrective action.

Finseg is objective and independent. Finseg offers specialized, substantive knowledge of the issues under review and provides practical, actionable recommendations suitable to the firm.