Complyport has launched a dedicated US Desk, headed-up by Ross Goffi, an American regulatory specialist. Goffi, a qualified US lawyer and consultant in US financial services regulation and compliance, has relocated from the USA.
Working in partnership with Complyport’s US associate firm, the US Desk provides local hands-on assistance to clients on US regulatory issues. From London, the US Desk will deal with US regulatory and compliance matters that affect non-US firms operating in the USA or US owned firms operating in the UK.
With firms becoming increasingly global and regulators working together in a more joined-up way, it has become increasingly important for organisations to adopt and implement robust compliance frameworks across the full spectrum of their financial services businesses, wherever they are in the world.
Ross arrives from the US and brings with him a wealth of in-house compliance expertise from various firms including J.P Morgan and Aviva Investors Americas. The US Desk will work alongside the International Desk that currently deals with and co-ordinates Complyport’s non-US cross-border and international regulatory and compliance consultancy services.
As part of our US regulatory service, Complyport can:
- Proactively monitor and assesses US regulatory and relevant US industry developments
- Develop manuals and monitoring programmes in conjunction with our UK technical team to ensure that Complyport’s clients remain compliant with US requirements as well as FCA and EU rules
- Issue frequent US bulletins and regulatory alerts
- Carry out compliance monitoring and annual review work, both on-site and off-site, on US requirements
- Conduct reviews of marketing and advertising materials
- Manage SEC/FINRA registration projects, such as:
- U.S. Securities and Exchange Commission application (“SEC”) as Investment Adviser or Exempt Reporting Adviser
- Annual filing of Form ADV; Other-than-Annual amendment of Form ADV support.
- Preparation, updating and maintenance of regulatory filings such as: Form PF, CPO-PQR, CTA-PR, etc
- Provide training on US regulatory issues to UK and EU based clients.
To find out more about how we can assist you with your US compliance requirements, please contact Ross Goffi or your account manager for more information.
CONTACT DETAILS:
Tel: 020 7399 4980/020 7042 8301
Email: ross.goffi@complyport.co.uk
