ABOUT: SC&G

Securities supervision has been accomplished in the past with a patchwork of financial regulatory agencies. The system was a function of the deconstruction of regulation to match cross-selling to consumer groups. It allowed, and maybe even promoted regulatory arbitrage. But fundamental change has come. Now there are a set principal-based regulations.
focused on ‘safety and soundness’, investor protection, and analysis of systemic risk. We help our clients, broker/dealers, investment advisers and hedge funds, translate the regulatory patchwork into sales-oriented, efficient and compliant policies and processes.

SERVICES: SC&G

Gone are the days of stand-alone brokerage firms, investment advisers, mutual funds and hedge funds. Yet each business lines’ regulator does not necessarily acknowledge the boundaries designed to encapsulate policies and procedures while providing a suite of products and services to your clients; the investing public.
We believe fundamentally that the core of a successful business is a value-driven strategy. That’s why Strategic Compliance & Governance has two distinct yet integrated practice areas for independent businesses, and large institutions. We have built a consulting practice organized around these businesses and have
developed the expertise to assist companies in achieving integrated success – that is defining the borders specific to each regulator’s jurisdiction, while assisting in the seamless delivery of product and services to clients.
Strategic Compliance & Governance works closely with clients in all sectors of financial services to develop compliance strategies in response to changing markets and industry structures. We assist you in translating these strategies to your everyday practices, resulting in implementable plans for corporate success and long-term prosperity.
  • BD and RIA mock regulatory examinations, SEC and FINRA
  • FINRA Rule 3012/3013 Testing and Reporting
  • Investment Adviser’s Act Rule 206(4)-7 Review
  • Routine Branch And OSJ Audits
  • Managing Change To A New Clearing Firm
  • Conducting Due Diligence On Brokerage Firms And Investment Advisers To Acquire
  • Acceptance, Waiver and Consent Projects
  • "For Cause" Investigations
  • Registering BD and IAs
  • Developing and Tailoring Written Supervisory Procedures
  • Firm-wide Supervisory Structure assessments
  • Sales Literature and Advertising Review and Approval
  • Investment Company Act 38a-1 Examinations
  • Operations Controls Reviews
  • Private Placement and Reg. D Compliance
  • Continuing Education Program Design and Review
  • Business Continuity Planning

SKILL SET: SC&G

  • BD and RIA mock regulatory examinations, SEC and FINRA
  • FINRA Rule 3012/3013 Testing and Reporting
  • Investment Adviser’s Act Rule 206(4)-7 Review
  • Routine Branch And OSJ Audits
  • Managing Change To A New Clearing Firm
  • Conducting Due Diligence On Brokerage Firms And Investment Advisers To Acquire
  • Acceptance, Waiver and Consent Projects
  • "For Cause" Investigations
  • Registering BD and IAs
  • Developing and Tailoring Written Supervisory Procedures
  • Firm-wide Supervisory Structure assessments
  • Sales Literature and Advertising Review and Approval
  • Investment Company Act 38a-1 Examinations
  • Operations Controls Reviews
  • Private Placement and Reg. D Compliance
  • Continuing Education Program Design and Review
  • Business Continuity Planning
focused on ‘safety and soundness’

SC&G CEO

Catherine Hanks

Having been a member of the financial services community for more than 25 years, I don't think I have ever seen as much turmoil in our industry including the dramatic change that technology has driven. It seems that a confluence of events has created a perfect storm. War, a record level in oil prices, a weak dollar, housing boom and bust, and a liquidity/credit crisis are wreaking havoc on our financial markets.

In times like this, opportunity is available for those who are willing to seek it. We are seeing some of our clients thrive and others struggle as all of these issues get parsed. With creativity, hard work and flexibility, opportunities are created. We at Strategic Compliance & Governance are thankful and appreciative that in spite of these challenges we have risen to the occasion and are busy helping our clients.

Bio

Catherine Hanks is a senior securities compliance professional with 30 years in broker-dealer and investment adviser regulatory affairs. Ms. Hanks has worked in the retail financial services business with firms that specialize in cross-selling securities to core customer groups.

In her 30 years in the business, Ms. Hanks has worked for Calvert Group, Northwestern National Life Insurance Company, Citibank, and most recently for Credit Suisse in Zurich Switzerland. At each firm she has been at forefront of emerging regulation, whether it was the demise of Glass-Steagall and birth of Gramm-Leach-Bliley at Citibank, or the integration of US Patriot Act and Swiss Anti-Money Laundering laws at Credit Suisse. In her role as Compliance Consultant, Ms Hanks has established broker/dealers, and Registered Investment Advisers and assisted those companies in the creation of sound compliance processes and cultures. She has also helped firms rebuild compliance programs after unfavorable determinations and deficiencies from the FINRA and the SEC.
Employed by bank-affiliated, insurance-affiliated and money management firms as head of Operations, Due Diligence, Training, Financial Planning & Compliance Departments, Catherine has expertise in
  • BD and RIA mock regulatory examinations, SEC and FINRA
  • FINRA Rule 3012/3013 Testing and Reporting
  • Investment Adviser’s Act Rule 206(4)-7 Review
  • Routine Branch And OSJ Audits
  • Managing Change To A New Clearing Firm
  • Conducting Due Diligence On Brokerage Firms And Investment Advisers To Acquire
  • Acceptance, Waiver and Consent Projects
  • "For Cause" Investigations
  • Registering BD and IAs
  • Developing and Tailoring Written Supervisory Procedures
  • Firm-wide Supervisory Structure assessments
  • Sales Literature and Advertising Review and Approval
  • Investment Company Act 38a-1 Examinations
  • Operations Controls Reviews
  • Private Placement and Reg. D Compliance
  • Continuing Education Program Design and Review
  • Business Continuity Planning
focused on ‘safety and soundness’

POLICY: SC&G

In November 1999, Congress passed major changes to modernize the laws that govern the financial services industry. At Strategic Compliance and Governance, LLC, protecting our clients' privacy is paramount; we recognize that a firm’s compliance matters are extremely private and sensitive in nature. These laws and regulations, combined with our long-standing firm policies, enable us to protect your privacy and, at the same time, provide you with a broad range of excellent services.
We collect only the information that is required to provide you with the best of professional services or that is required by law and regulation. This nonpublic information about your firm is collected from the following sources: information we receive from you during interviews or other forms; information about your transactions with us, our affiliates, or others; and information we receive from consumer reporting agencies as needed.
Our employee access to customer information is restricted to those who have a legitimate need to know in order to provide you with our professional services, or to comply with laws and regulations. We maintain both physical and electronic safeguards in accordance with federal law and regulatory standards. Employees who have access to individual information receive training and are required to follow company procedures designed specifically to keep that information confidential. Please notify us if it ever appears that our records contain incomplete or inaccurate information about you. We will promptly investigate your concerns and make any necessary corrections.
We provide information to outside vendors only to the extent necessary to complete our contractual services with you. Any information that we provide these outside vendors is restricted as to content and recipient. Any organization that receives such information must provide us with a copy of its privacy policy, and each policy will be reviewed to ensure that it is sufficient to meet our privacy standards. Under no circumstances whatsoever will Strategic Compliance and Governance, LLC sell information about you or your business to any vendor, public or private.
Protecting your privacy is an ongoing process. As technology continues to advance, TradePMR will continue to evaluate its security standards and procedures in order to protect your information with the best available means. Nothing is more important to us than our clients' trust and confidence, and we will do whatever it takes to maintain the security of our professional relationships.
Identity Verification
TradePMR, Inc. will use all means necessary to verify the information given on accounts, including the use of third party credit agencies, to comply with all government and industry regulations on Money Laundering. Failure to provide adequate and correct information on any account will result in reporting to the proper enforcement agency.
focused on ‘safety and soundness’

CONTACT

SC&G

Catherine Hanks

5801 Nicholson Ln.
Suite 920
North Bethesda
MD., 20852

Office -301.770.0549
Cell -301.300.5541
Skype - icompli
Email

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