Compliance and regulations for securities

Geneva Stock llc. > Compliance and regulations for securities

The standards and expectations of compliance and regulations for securities are becoming more and more sophisticated on an international level.

Regardless if you manage an investment fund, manage a portfolio, provide investment advice or seek the best investments, it is vital to receive proper advice and support from experts that comprehend not only the legal implications that can affect your business, but who also possess the necessary know-how and experience to help you make sense of and navigate the legal and regulatory concerns faced by your business.

Geneva Stock, LLC’s team is committed to understanding and solving the legal and regulatory concerns that can appear during this process, offering our clients the information and specialized advice that they require in order to completely understand the legal and regulatory aspects that affect a newly registered business.

Our extensive knowledge makes sure that newly registered clients are provided with comprehensive legal services and support in a cost-efficient fashion.

Geneva Stock, LLC’s team of experts offers an extensive range of services that include:

Helping companies and their staff to gain and maintain registered status with the appropriate securities regulators.
Create, arrange, review and evaluate compliance proceedings and practices concerning internal policy and regulations requirements.
Developing and strengthening compliance abilities, uncovering operational issues and designing relevant, cost-efficient solutions and replying to regulatory changes.
Helping newly registered entities that are undergoing a regulatory compliance audit, which includes training management and staff to offer the right answers during regulatory interviews.
Helping with a broad range of compliance and regulatory issues such as risk management, conflicts of interest, anti-corruption financing, portfolio valuation correcting, best practices and many more.
Gaining the necessary relief from regulatory obstacles where it is required to enable a fluid transition for clients.
Evaluating and composing client documentation, ranging from investment management and account accords to the disclosure of risks and conflicts of interest.
Evaluating and offering support and advice on materials such as brochures, presentations or offers.

When we provide our services to our clients we work in cooperation with lawyers specialized in multiple disciplines such as securities litigation, banking and tax to offer comprehensive assistance through our far-reaching relationships with the most important security regulators.

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