Alternative Regulatory Solutions, LLC (ARS) was founded in July 2009 by Kimberly McManus. Kim has brought together a team of industry professionals with extensive experience in fixed income and asset management compliance, with particular expertise in the municipal market. Kim and the ARS Compliance Team have over fifty years combined experience with regional and national broker dealers, asset managers as well as municipal advisory firms in both the compliance and audit fields.
ARS was established to provide firms with a pro-business approach to regulatory compliance. In this capacity, ARS has contracted with numerous national, regional and small boutique firms in conducting regulatory compliance services including:
- Completing the extensive FINRA Continuing Membership Application (CMA) for both large and small firms to create new businesses or add sectors to their existing business platform.
- Writing policies and procedures to comply with MSRB, SEC and FINRA rules and regulations, including industry best practices.
- Creating, implementing and carrying out surveillance programs.
- Training employees and principals on rules and regulations.
- Providing regulatory guidance on a continuous basis regarding rule changes and interpretations.
- Assisting in regulatory exams, inquiries, subpoenas and/or internal audits.
- Acting in the capacity of an independent party and expert witness.