Our advisors, all with a quarter-century or more of experience, bring extensive hands-on expertise across the industry in addressing specific needs in these areas:

Investment Management

• Trading strategies

• Hedging and risk management

• Securities

• Domestic and foreign

• Fixed income

• Equities

• Support systems

• Pricing

• Recordkeeping

• Regulatory compliance issues

Broker-Dealer

• Recordkeeping and other support systems

• Regulatory compliance issues (including 15c3-3)

• Safeguarding customer assets

• Best practice recommendations

• Policies and procedures, including written supervisory procedures

• Anti-money laundering procedures

• Branch reviews, including operations and sales practices compliance

• Operational risk management review

Transfer Agency

• Recordkeeping systems

• Regulatory compliance issues

• Market timing surveillance of Rule 22c-2

• Due diligence effort

• Identity theft risks

• Safeguarding customer assets

• Policies and procedures

• Work flow reviews

• Best practice recommendations

• Operational risk management review

• Structural and procedural review

Governance, risk and compliance pose complex challenges. H.S. Grace & Company, Inc. financial advisory services can help keep you on track, whether you are charting a safe course for an upcoming venture, making sure an endeavor is adhering to its route or resolving issues resulting from wrong turns.