PHILOSOPHY
Our typical financial services client wants its compliance function to have good judgment, integrity, excellent industry knowledge and strong communication and interpersonal skills, including a commitment to providing timely answers. In short, our clients want a professional function that is led by a steady pair of hands.
HM meets these criteria by deploying its senior team to advise its clients. Our partners have held roles leading the legal and compliance functions of various financial institutions. The partners are supported by junior resources as needed.
OUR SERVICES
We assist capital markets services licensees (broker-dealers, corporate finance advisors and fund managers) with:
License and exemption applications
Ongoing/outsourced Compliance
Ad hoc advisory
Preparing policies and procedures
Client onboarding and KYC
Internal Audit
Training
HOW CAN WE HELP YOU?
[gravityform id="2" title="true"]
