Cornerstone

Regulatory

Experience and Guidance for Your

Compliance

Responsibilities

Compliance Assistance for Different Types of Firms

Regulatory responsibilities vary based on a firm's registration, business activities, clients, and applicable rules. Cornerstone Regulatory provides compliance consulting to firms operating under SEC, FINRA, and state regulatory requirements.

Our clients include:

• Registered Investment Advisers

• Exempt Reporting Advisers

• Broker-Dealers

• Private Fund Managers

• Municipal Advisors

• Other regulated firms

Engagements may address a particular compliance requirement or provide continuing assistance with recurring compliance responsibilities.

Our Compliance Services

Compliance Policies and Procedures

Code of Ethics

Assistance with developing, reviewing, and updating the firm's Code of Ethics.

Personal Trading Reviews

Updates Regarding Regulatory Changes

Annual Compliance Review

Assistance with the firm's annual review of its compliance policies and procedures.

Documentation of Compliance Reviews

Cornerstone Regulatory assists firms with key components of their compliance programs.

Assistance with registration matters, amendments, and regulatory filings applicable to the firm.

Registration and Regulatory Filings

Development and review of written compliance policies and procedures based on the firm's activities and regulatory requirements.

Review of personal securities transactions and related compliance documentation under the firm's Code of Ethics.

Review and updating of compliance risk assessments to reflect the firm's business activities and applicable requirements.

Risk Assessment

Information regarding regulatory developments and rule changes that may affect the firm's compliance responsibilities.

Preparation and maintenance of documentation supporting compliance reviews and related activities.

REGULATORY FILINGS

Accurate filings and ongoing regulatory support.

COMPLIANCE PROGRAMS

Policies, procedures and code of ethics.

REVIEW & TESTING

Annual reviews, risk assessments and examination preparation.