Acknowledged experts in the fields of suitability, supervision, industry rules, regulations and standards of care, the Sutro team has significant experience managing legal, compliance, operations and HR departments at major financial institutions, negotiating with regulators and implementing policies and procedures that meet the demands of evolving regulatory standards. To learn more, click here
The Sutro Group LLC (Sutro) offers
highly qualified compliance and HR consulting services to attorneys,
broker-dealers and investment advisers, featuring a specialized
expertise in policy and procedure reviews, risk management, training,
testing and audit. To learn more, click here
Brokers considering life as an independent investment adviser must be familiar with basic SEC requirements on registration and licensing. Maria McGarry, a noted expert in hedge fund and '40 Act compliance, discusses some of these requirements in this edition of 5 Questions. To learn more, click here
