Law Office of Peter Flynn
Broker/Dealer and Investment Advisor Regulatory Solutions
My practice specializes in helping firms, in a highly individualized basis, in meeting
the obligations imposed under SEC, State and self regulatory rules and regulations.
From a broad based experience as both a regulator, having served in a variety of
senior positions at the Securities and Exchange Commission, and as a front line
compliance professional serving as General Counsel, Chief Compliance Officer and
Financial and Operational Principal for a Boston based investment banking firm,
I bring a depth of experience in the day to day issues facing broker/dealers and
investment advisers.
Some of the broad array of services offered to Firms, CEO?s and compliance and operational
professionals include:
- Preparing for the exam
- Responding to inquiries
- Review (and participate) in Exit Interviews
- Draft response to Exit Interview letters
- Special projects
- Regulatory issues and questions
- Continuing updates on current trends
- Temporary Financial and Operational Principal services
- Continuing Education analysis and design
- AML annual Reviews
Guidance for senior managers on an ad hoc basis and conducting internal reviews
and investigations
- Reviewing vendor contacts
- Employment Agreements
- Corporate Governance matters
Please call to arrange a meeting to answer your questions and to see how your firm
can augment its compliance efforts.