Compliance Management Programs
Membership is the embodiment of our service culture. But the success of our program can be traced to the investment we make each time a member joins us. During the time we spend on the initial project, we take a fresh look at each new member’s approach to regulatory compliance. That means immersing ourselves in their business and spending the time it takes to really get to understand their priorities and how their business is run. We know that it’s a different approach; but the dividends come throughout our relationship as we are able to not only manage but actually anticipate the unique needs of each of our members.
A strong regulatory compliance program establishes a non-negotiable and critical baseline standard of operations that serves as a foundation for all other sustainable successes the advisor will go on to achieve. Our compliance management membership is designed to support advisors with varying needs to achieve and maintain this operational standard.
— Brian Hamburger, President & CEO
Core Membership
The Core compliance management membership is designed for independent investment advisers who seek both direction and support for their regulatory compliance program but are unwilling to compromise on their baseline obligations. Through this tier of membership, we proactively deliver essential, yet tailored solutions to independent advisers that enable them to efficiently run a strong regulatory compliance program while furnishing them with a deep understanding of relevant issues to enable better business decisions. All the while, we’re committed to integrating their firm leadership into the fabric of the RIA community to build a more collegial industry; one that thrives on collaboration.
Tactical Membership
The best firms seem to have their head on a swivel; they look forward and backward, inside and out, seemingly simultaneously. We want to support their elaborate holistic vision. Tactical compliance management membership enhances the Core membership with a practical curriculum, review, and feedback that culminates in assisting them in satisfying their annual compliance review obligations. The program is designed for independent investment advisers who seek practical compliance consulting and support for their regulatory compliance program that is scheduled, replicable and well-documented.
Comprehensive Membership
High growth firms demand as much from their business partners as they do from themselves. And to deliver, there needs to be a fee structure that allows for the seamless delegation of responsibilities and allocation of work without the concerns of an incremental buying decision. Comprehensive membership is designed for independent investment advisers who seek regulatory compliance consulting and support for their regulatory compliance program coupled with a highly-aligned business model. To achieve this, we further enhance our Tactical membership tier by removing the impediments of incremental billing for our services.
Membership with Benefits
Membership, at any level, avails member firms to MarketCounsel Consulting’s proactive and business-savvy solutions to the regulatory challenges that face today’s investment adviser. We achieve these unique results by pairing state-of-the-art technology customized to complement its well-honed business processes, and its focused, energetic, and dedicated team of highly-skilled compliance professionals, truly the best in the business.
- Proactive Communications
- Responsive Consulting
- Collaborative Consulting
- Advertising Compliance
- Regulatory Reporting
- Regulatory Exam Support
- Policy Development
- Verification Services
- Events and Resources
Member Initiation
Our membership program is most effective when clients understand the breadth and depth of our services and qualifications and maintain high utilization rates. So, all new members participate in a thorough Member Initiation program to ensure an effective implementation of the compliance and offer a bridge to our membership program. This comprehensive orientation program provides new members with an introduction to the fundamentals of an effective RIA regulatory compliance program and the role of the chief compliance officer; an immersive tour of their compliance manual paired with guided completion and tailored customizations; and a deep understanding of the resources available to them as members both within, and outside, our compliance management program along with details about how to access them. The program also provides an opportunity for MarketCounsel to perform an operational assessment to better understand the other systems that makeup the advisor’s stack, take inventory of business processes and internal / external resources. In short, we seek to gain a more meaningful understanding of the member’s business and for them to understand how to get the most value from their relationship with us.
Member Academy
Member Academy is our ongoing training curriculum that provides members with context and understanding about the most relevant issues through our regular stream of episodes throughout the year. The on-demand webcast series features an evolving array of trending and emerging regulatory compliance and risk management topics.
RIAglass
Among the greatest assets of independent investment advisers is, well, their independence. It’s to operate their firm in the manner they envision and leverage hand-picked service providers to amplify their effect. RIAglass has been designed to be the tool that can take entrepreneurs out of the project manager role and back to what they love. Our proprietary application aligns our efforts on real business objectives while allowing the entrepreneurs to maintain visibility of the big picture and control over its elements.
Collaborating with Legal Counsel
The line that separates “legal” and “compliance” functions has long challenged the securities industry. Certain services are considered the “practice of law” by the state(s) where our members conduct business and those services are protected from participation by anyone unless they are acting as an attorney for our members.
MarketCounsel Consulting puts a team of seasoned compliance professionals to work for our members providing the highest caliber of regulatory compliance consulting to the industry. Many of our compliance professionals are attorneys who serve as our staff attorneys. However, under a MarketCounsel Consulting engagement, our staff attorneys do not serve as attorneys for our members. These same individuals may be engaged to serve as attorneys for our members through our separate but affiliated law firm, the Hamburger Law Firm. This representation is done under a separate written agreement and fee. Of course, engaging an attorney is a decision that should only be made after careful consideration of an attorney’s qualifications and experience. We will coordinate our efforts with members’ legal counsel, either our affiliated law firm or any independent counsel that our members retain.
We're There Throughout the Adviser Lifecycle
MarketCounsel Consulting, along with its affiliated law firm, the Hamburger Law Firm,.stands alone in providing the only true lifecycle solution designed for independent investment advisers. Whether you call it start-to-finish, end-to-end, or cradle-to-grave, it’s no wonder why so many of them call upon us as their most trusted advisor.
STARTUP
- RIA Incubator®
- Transition Intelligence™ (Employment Transition Planning)
- Intelligent Entity™
OPERATIONS
- RIA Refresh™
- Compliance Management
- Practice Management
- Integrated Transition Intelligence™ (Recruiting)
- Tech Stack Consulting
- Outsourced General Counsel
- Entity Lifecycle Management
EXIT
- Business Consulting
- Business Continuity & Succession
- Mergers & Acquisitions
- Deal Counsel
