Taylor Hodson is proud to announce the formation of our newest Division specializing in Compliance Consulting and Operations Staffing.

Our Compliance & Operations Division provides compliance professionals who have substantial experience in the financial industry. We are not lawyers, but our professionals have actually done the hands-on, day-to-day work that is required for a robust Compliance Program. By providing consulting and staffing to Registered Investment Advisers, Hedge Funds, Mutual Funds and Broker Dealers, we pride ourselves in offering dynamic compliance solutions in this highly charged and ever-changing regulatory environment. Our staff has many years of regulatory and technology experience, and we will work with your organization to customize and implement a robust compliance program.

Let Taylor Hodson’s Compliance & Operations Division serve as an extension of your current Compliance staff; we will provide support to free up much needed bandwidth for Chief Compliance Officers and Senior compliance personnel.

Compliance & Operations Division Services:

• Annual Review
• AML Programs
• Business Continuity
• Code of Ethics
• Compliance Policies and Procedures
• E-Mail Practices
• Employee Trading
• Employee Training
• Financial Operations
• Hedge Fund Compliance
• Internal Controls/Testing
• Preparation for SEC Exams
• Regulatory Filings
• Trade Support/System Implementation/Technology Audit

Taylor Hodson provides customized solutions and services in many areas of compliance. We will assist you in navigating the Regulatory environment.

The following is a sample of customized services:

• Adviser Registration/Deregistration
• Best Execution/Soft Dollars
• Mock SEC Audits
• Proxy Voting
• Risk Assessment
• Update on Regulatory Developments