Faced with budgetary pressures and an increasingly challenging regulatory environment, broker-dealers and investment advisors have increasingly turned to third party providers to assist in meeting their compliance responsibilities.  By outsourcing, firms can reduce fixed costs and maximize both the productivity of in-house staff and the effectiveness of their compliance program.  The Sutro Group offers the following compliance services to clients on an outsourced basis:

            *Advertising and Sales Literature (2210 Review)

            *AML Program (Independent Testing and Review)

            *Annual Compliance Examinations of OSJs and Branch Offices

            *Annual Supervisory Controls Assessment (3012/3013 Certification)

            *Continuing Education (Needs Analysis and Training Plan)

            *CRD/IARD Administration

            *E-Mail/Instant Messaging (Surveillance and Review)

            *Forms BD/ADV, FINRA Membership (Maintain, Update)

            *SRO/SEC Pre-Examination Testing

            *Surveillance (Exception Reports)

            *WSPs/Compliance Manual (Maintain, Update)