Suzette provides compliance advice related to federal and state regulations.
She gives advice on supervisory policies, procedures and code of ethics to comply with the investment advisors business plan as well as the review of advertising and sales literature. She performs on-site books and records examinations.
Suzette is an experienced compliance consultant. Her experience in the securities industry started with a world-wide brokerage firm where she worked in operations for many years. She has worked with a large money manager firm. She began her consulting career with a major consulting firm in their investment advisor department and managed staff in assisting firms in various aspects of compliance for over ten years.
Karen performs Investment Advisor Registration on the SEC and State levels, Web IARD/CRD Administration, Form ADV documents and related schedules, registration and licensing of representatives, Compliance Procedures, Business Continuity Plans, operational issues, and recordkeeping issues. She performs on-site books and records examinations. She works closely with IACC's annual compliance clients where she assists and consults regarding their ongoing compliance needs.
Karen is an experienced compliance consultant. Her background includes working for a large compliance consultant and her focus was in the Investment Advisory Division. She worked with over one hundred investment advisory firms on multiple issues such as registration for firms and representatives, Web IARD/CRD filings, Form ADV documents, compliance manuals, business continuity plans, regulatory exams, audits, and various operational issues. She has over 17 years experience in the compliance industry. Prior to working as a compliance consultant, she worked in the financial industry.