Is your firm struggling with the regulatory burdens of existing regulations? Are you concerned about how regulations will change in the future as a result of recent economic conditions? Turris stands ready to assist you in dealing with both existing and new regulations. Regulatory services offered by Turris include:


•  Assistance with registration and ongoing compliance issues for state and federal covered investment advisers;

• Assistance with broker-dealer registration issues with state regulators, the SEC and Finra ;

• Assistance with branch office registration, office setup, and development of compliance procedures;

• Development and implementation of supervisory and operational procedures;

• Compliance seminars for broker-dealers and investment advisers;

• Assistance with development of continuing education programs;

• Conducting mock examinations of broker-dealers, investment advisers, and branch offices;

• Providing regulatory expertise to industry associations;

• Assisting with the development of internal policies and procedures;

• Providing independent assistance in complying with regulatory undertakings.