Support Services: Regulatory/Compliance Assistance
Compliance issues are important and need to be addressed at the inception of the business. Spectrum works with your attorneys and accountants to ensure that the initial registrations are proper and that an effective ongoing compliance program is in place. Adequate controls in this area will save time and enhance profitability.
Regulatory and Compliance Research
Spectrum begins by reviewing your trading and marketing activities to determine registration requirements. This includes a review of anticipated marketing, trading, and operational activities as well as reporting requirements. Foreign country or exchange requirements will be reviewed if offshore activities or investors are anticipated.
Registration
Spectrum will prepare registration forms for regulatory bodies or exchanges, develop compliance procedures and manuals, and handle communications with regulatory agencies.
Compliance Reviews
Spectrum can conduct internal compliance audits to ensure compliance with external compliance requirements. This can include a review of listing requirements, track records, offering memos, and disclosure documents.
Additional Services
Spectrum will also assist with financial and operational audits including:
- IRS and state income tax audits
- NASD or NFA audits
- audits by independent public
accountants
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