At Robert Quinn Consulting we make it easy for you to understand and strategically plan out your U.S. regulatory obligations.
For over ten years, we have been providing top-notch regulatory advice to SEC registered investment advisers. We specialise in dynamic compliance programs for your SEC and/or NFA needs.
We can provide a wide range of services:
SEC Registration and SEC Reviews
We offer a premium service to manage your registration, draft the content to meet the SEC’s expectations, communicate with the regulator and provide the appropriate policies and procedures. We also provide the training you need to stay in compliance.
Ongoing Monitoring & Support
Our extensive range of SEC compliance monitoring services include a visit from us on a weekly, monthly or quarterly basis. We typically like to work with clients on an ongoing basis because it allows us to better understand your business and your conflicts.
We kick off our ongoing monitoring services with a comprehensive initial assessment to learn about your business and identify any priorities.
SEC Reviews & Mock Exams
Do we help you when the SEC wants to examine your firm? Absolutely! It’s all hands on deck! We can perform comprehensive reviews and mock audits on all or part of your business. Examples of recent reviews and advice include:
• Pre-exam preparation and analysis
• Code of Ethics
• SEC vs FCA Gap Analysis
• Annual Review
• Advertising Requirements
• Use of Third Party Marketers
• Private Equity Disclosures
• Conflicts of Interest
• Form PF
• Fees and Expenses
Policies and Procedures
We can provide you with a comprehensive range of institutional policies and procedures drafted by our experts and where necessary, integrate them into your FCA compliance programme. We are here to provide you with tailored tools designed to help your business succeed.
Robert Quinn Consulting
Robert Quinn Consulting is a boutique compliance consulting firm providing high-touch, high-value excellence to help firms build their business in a pragmatic and commercial way. We are fluent in most U.S. and European regulations and provide integrated compliance advice in a thoughtful way that our competitors do not.
We view ourselves as a partner in your business and as trusted advisor, we excel at going the extra mile to provide you with exceptional customer service. Our solutions are designed with your best interests in mind. With 10 years under our belt, our long-term clients and competitors alike will tell you, “Robert Quinn Consulting punches far above their weight.”
FCA Compliance (UK)
Let us help you efficiently manage your FCA authorisation and ongoing obligations with experienced consultants.
NFA / CFTC Compliance (UK)
We specialise in integrating your derivatives and commodities business into your European controls and procedures.
Senior Managers & Certification Regime (SMCR)
Let us help you save time and map out your firm’s key individuals and responsibilities under SMCR.
Regulatory Hosting – Appointed Representative (UK)
We can host your FCA regulated business and undertake your FCA and European obligations efficiently.
SEC Compliance (UK)
With ten years’ experience we can expertly translate all aspects of your SEC registration and ongoing U.S. obligations.