Tag: securities

AUM – General Counsel Services

Chief Compliance Officers of securities dealers are regularly confronted with new issues and problems. Sometimes you need help to find a practical solution to an issue, you may need support for a project team, or simply need support to cover a vacancy or busy period....

AUM – Policies and Procedures

In a busy dealer compliance department, it is always difficult to find time to update and maintain dealer policies and procedures, conflict of interest policies or disclosure documentation. We can review and update your policies and disclosures. Reach out to AUM Law...

AUM – Registrations

Securities registrations can be complex and time consuming, especially if experienced staff are not available to manage the process. Outsourcing the registration process is an efficient and cost-effective way to manage registrations. AUM Law’s team can manage your...