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At Robert Quinn Consulting, we make it easy for you to understand U.S. regulations and strategically plan your U.S. regulatory obligations.

For over ten years, we have been providing top-notch regulatory advice in the context of a European firm. We specialise in integrated compliance programmes – one manual, one monitoring programme – for your FCA, 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 necessary training for you and your staff.

Ongoing Monitoring & Support

Our extensive 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

Our experts 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.”

What Our Clients Say About Us