Compliance Consulting Services
Taking your ACCURACY to the next level
We approach each of our clients with fresh eyes to develop customized, unique strategies.
Regulatory inqueries, preparation of regulatory responses, mock exams
Creation/Revision of WSP’s to align with business line.
Customized risk assessments to assist in day-to-day compliance management
Know where your risk is to identify/implement mitigating factors for your specific business
Registered Investment Advisors
Form ADV initial and annual amendment on Schedule I
Brochure Rule which requires most advisers to provide clients and prospective clients with information about the adviser's business practice and educational and business background; maintain accurate and current books and records, as specified by SEC rules; and be subject to inspection and examination by the SEC staff.
FINRA New Member Applications (NMA), Continuing Member Application (CMA), Materiality Consultations (MatCons)
Compliance with FINRA Rule 1017
Preparations, Application Filing, Request/Responses
Safe Harbor for Business Expansions
Regulation Best Interest (Reg BI) (Firms must comply with the new rule by June 30,2020)
Reg BI and Form CRS assessment and implementation of necessary changes to policies, procedures and compliance programs
Reg BI Preparedness Reviews and Best Practices
Reg BI Compliance Inspections and Examination
Independent AML Test
Compliance with Bank Secrecy Act
Office of Foreign Assets Control
FINRA Rule 3310
Our EXPERTS are the finest.
Julia Ulloa has 18 years experience in various roles at FINRA (previously NASD) and The Federal Reserve Bank of New York. Throughout her career, Mrs. Ulloa has managed portfolios of domestic and international firms. She is an expert in FINRA’s Nine Risk Hierarchy (Accuracy of Regulatory Capital, Liquidity, AML, Operations, Sales, Market, Fraud, Credit and Segregation of Client Assets).
Mrs. Ulloa oversaw sales practice, financial and operational activities of assigned firms to ensure compliance with FINRA and SEC Rules. She provided supervisory perspective as to the overall safety and soundness of firms undergoing mergers, acquisitions, conversion and signification business expansions. Mrs. Ulloa also provided guidance on routine sales practice examinations, special investigations and financial surveillance. Additionally, she provided firms with interpretations of FINRA and SEC Rules and assisted them in conducting business within regulatory guidelines.
In addition to forming part of FINRA’s Member Regulation Team Mrs. Ulloa was an integral member of innovative initiatives such as Employee Resource Groups. She had a significant role in the development of FINRA’s Employee Resource Groups and served as Co-Chair for one of them.
Great agency! Mrs. Ulloa is very professional. That's the key. I always like working with companies that know their clients needs and that you can count on to provide a quality service experience.
JU Regulation does a great job for us and they are our #1 referral for FINRA regulatory compliance, testing and training.
Never fails to exceed our expectations. They always go above and beyond with their testing to make sure that we have the highest level of compliance. Thank you for the amazing support!
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