Practical Compliance Support for Financial Firms

Helping Firms Address Regulatory Requirements With Clear, Experienced Guidance

Email: catherine.meyer@franklinregulatory.com

Phone: (650) 419-9919

Mailing Address: 1259 El Camino RealMenlo Park, CA 94025

Contact Franklin Regulatory

Submit

Regulatory Compliance Support Built Around Your Firm

Keeping up with filings, policies, reviews, and regulatory changes requires ongoing attention. Franklin Regulatory helps financial firms manage these responsibilities with clear guidance and practical compliance support.

 

We assist firms with the work required to maintain their compliance programs, from regulatory filings and policy updates to annual reviews, testing, risk assessments, and examination preparation.

Discuss Your Compliance Needs

Know What Requires Attention

Compliance requirements differ based on a firm's activities, registrations, and regulatory obligations. Franklin Regulatory works with firms to identify the areas that require review and provide appropriate compliance support.

We assist:

  • Registered Investment Advisers (RIAs)
  • Exempt Reporting Advisers (ERAs)
  • Broker-Dealers
  • Private Fund Managers
  • Municipal Advisors
  • Other regulated financial firms
  • Our work centers on maintaining current compliance materials, completing required reviews, addressing regulatory changes, and documenting compliance activities.

Core Compliance Services

 

  • Registration & Regulatory Filings

Assistance with registration requirements, amendments, and applicable SEC, FINRA, and state filings.

 

  • Compliance Policies & Procedures

Development, review, and updating of compliance policies and procedures based on the firm's activities and regulatory obligations.

 

  • Code of Ethics

Support with Code of Ethics development, review, and updates applicable to the firm's compliance program.

 

  • Personal Trading Reviews

Review of personal trading activities in accordance with the firm's Code of Ethics and applicable requirements.

 

  • Risk Assessment

Assessment of compliance risks and areas that may require additional attention.

 

  • Updates Regarding Regulatory Changes

Information about regulatory developments that may affect the firm's compliance responsibilities.

 

  • Annual Compliance Review

Review of the firm's compliance program and related policies and procedures as part of its annual review requirements.

 

  • Documentation of Compliance Reviews

Assistance with documenting compliance reviews, findings, and related compliance activities.

 

  • Testing of Compliance Policies & Procedures

Testing of compliance policies and procedures to evaluate their implementation and identify matters requiring attention.

Support Beyond the Annual Review

Compliance matters can arise at any point during the year. A regulatory filing may need to be updated, a policy may require revision, or a firm may need to respond to a regulatory request.

Franklin Regulatory provides support for these situations as they arise, helping firms address specific compliance matters without losing sight of their broader regulatory responsibilities.

Regulatory Examination Preparation

We assist firms in preparing for regulatory examinations by reviewing relevant compliance materials, examining requested documentation, and identifying areas that may require attention before responding to regulators.

A Straightforward Approach to Compliance

Understand the Requirement. Review the Details. Address What Matters.

Franklin Regulatory takes a practical approach to compliance consulting. We consider the firm's activities and applicable requirements, review the relevant materials, and provide guidance that is clear and usable.

Our work is centered on helping firms keep their compliance documentation current, complete required reviews and testing, and address regulatory responsibilities throughout the year.