Alternative Regulatory Solutions, LLC (ARS) provides expert compliance outsourcing services for Broker Dealers, Bank Dealers, and Municipal Advisors. Manage your risk with ARS on your team conducting annual 3130 reporting, anti-money laundering training, regulatory filings, written supervisory procedures, surveillance, regulatory bulletins, expert witness research and testimony, as well as audit and regulatory support. Certified by the WBENC as a Women's Business Enterprise (WBE)
ARS also specializes in Municipal Advisor Compliance services that include initial and annual registration preparation and regulatory filings. ARS will amend and update SEC Forms MA, MA-I and MSRB Form A-12 for changes in personnel, firm and individual registrations, and will file G-37 political contribution reports. ARS also creates, amends, and updates written supervisory procedures and surveillance programs, exception identification and management reporting, as well as provide regulatory and industry best practice bulletins. ARS conducts on-site and off-site training, provides compliance support for RFPs, IRMA, and engagement letters, annual G-44 certification reviews and reporting, and we provide support and assistance with regulatory exams, inquiries, subpoenas, sweep letters, and internal audits.
Company Details
- Employees
- 9
- Founded
- -
- Address
- 101 Eisenhower Parkway,
- Industry
- Financial Services
- NAICS
-
Finance and InsuranceMonetary Authorities-Central Bank
- Website
- alternativereg.com
- Keywords
- SEC Regulation, Regulatory Compliance, MSRB Form A-12, G-37 political contribution reports, firm and individual registrations, written supervisory procedures, surveillance programs, exception identification and management reporting, regulatory and industry best practice bulletins, Annual G-44 Certification Reviews and Reporting, Compliance Support for RFPs, compliance support for IRMA, Amend and Update SEC Forms MA, MA-I and MSRB Form A-12, Support and Assistance with Regulatory Exams, Inquiries, Subpoenas, Sweep Letters, and Internal Audits., Compliance Outsourcing.
- HQ
- Roseland, NJ
Alternative Regulatory Solutions, Llc Questions
Alternative Regulatory Solutions, Llc's website is alternativereg.com
Alternative Regulatory Solutions, Llc's LinkedIn profile is https://www.linkedin.com/company/alternative-regulatory-solutions-llc
Alternative Regulatory Solutions, Llc has
9 employees.
View email and phone details for 9
employees at Alternative Regulatory Solutions, Llc.
Alternative Regulatory Solutions, Llc's industry is
Financial Services
Alternative Regulatory Solutions, Llc's top competitors are
Potato Tv,
Outsourced Compliance Group,
Pgim Quantitative Solutions,
Allshifts,
Kearny Bank,
Breakaway Wealth Management,
Viscogliosi Bros., Llc,
Crossstate Credit Union Association,
Grow America (Formerly Ndc),
Arrow11.
Alternative Regulatory Solutions, Llc's categories are Financial Services
Alternative Regulatory Solutions, Llc's founding year is 2009
