BridgePoint Regulatory
We help financial firms assess compliance concerns, address regulatory obligations, and maintain effective compliance programs through clear, customized guidance.
About us
BridgePoint Regulatory provides practical compliance consulting and regulatory guidance to financial firms managing complex and changing requirements. We help clients identify compliance concerns, address regulatory obligations, and maintain compliance programs through clear recommendations and customized support.
Our services support registered investment advisers (RIAs), broker-dealers, private fund advisers, exempt reporting advisers (ERAs), municipal advisors, and other regulated firms. Whether a firm is establishing its compliance program or reviewing an existing one, we provide assistance based on its activities, regulatory requirements, and specific compliance needs.
Effective compliance requires more than written policies. Firms must also review their programs, document compliance activities, and address regulatory developments as they arise. BridgePoint Regulatory works with clients to assess compliance matters, identify areas requiring attention, and provide practical guidance for maintaining an effective compliance program.
Our Services
Registration and regulatory filings
SEC Form ADV amendments
Compliance policies and procedures
Code of Ethics development and updates
Personal Trading Reviews
Risk Assessment
Annual compliance review
Documentation of compliance reviews
compliance policies and procedures
Updates regarding regulatory changes
Regulatory examination preparation
Mock regulatory examinations
Advertising and marketing review
Books and records review
Employee compliance training
Compliance manual reviews and updates
Regulatory inquiry support
