Alternative Regulatory Solutions
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Compliance Advisory

The compliance infrastructure your firm needs to grow

ARS provides boutique compliance solutions for municipal advisors, broker-dealers, and RIAs, built by practitioners who have sat in your seat.

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The largest municipal advisor compliance firm in the US

Experts in SEC, FINRA, MSRB and other regulations

Comprehensive policies and surveillance programs

100+ years of combined team experience

2009

Founded

100+

Years Combined Experience

#1

Largest municipal advisor compliance firm in the US

What We Do

Our services

Alternative Regulatory Solutions was founded by Kimberly McManus to provide firms with a pro-business approach to regulatory compliance. Our team brings extensive experience in fixed income and asset management compliance, with particular expertise in the municipal market.

About Our Firm

01 / Municipal

Municipal Advisor Compliance

Expert guidance on surveillance programs, regulatory exam support, registration, and written supervisory procedures (WSPs).

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02 / Institutional

Broker-Dealer and Bank-Dealer

Comprehensive compliance for fixed income groups, including public finance, government banking, underwriting, institutional or retail sales, investment banking, trading and derivatives.

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03 / Advisory

RIA Compliance

Full-service compliance solutions for Registered Investment Advisors, including Form ADV, compliance policies, SEC examinations, and annual reviews.

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04 / Audit

AML and Financial Crime Reviews

Independent AML testing and BSA frameworks built for institutional integrity and regulatory scrutiny.

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Capabilities

Our core capabilities

01

Supervisory Infrastructure

Comprehensive WSPs for principal oversight and internal controls.

02

Regulatory Guidance

Continuous support on rule changes, interpretations, and best practices.

03

Training and Education

On-site and remote training for registered representatives and principals.

04

Surveillance Programs

Implementation and management of comprehensive surveillance systems.

Why ARS

The largest municipal advisor compliance firm in the US

We have completed more SEC municipal advisor exams and audits than any other compliance firm. Our team has been instrumental in positive outcomes for regulatory exams, inquiries, and investigations.

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About our approach

  • The largest municipal advisor compliance firm in the US, having completed more SEC MA audits than any other provider
  • 100+ years of combined team experience in fixed income compliance
  • Pro-business approach to regulatory compliance
  • Proven track record with national, regional, and boutique firms
  • Expertise in SEC, FINRA, and MSRB regulations
  • Leading regulatory exam support
  • Continuous monitoring of new and amended rules

Our Philosophy

Time is too valuable to spend buried in regulatory minutiae. The smartest firms offload compliance so they can focus on what actually moves the needle. And they never worry when examiners walk through the door.

Alternative Regulatory Solutions

Insights

Regulatory updates and compliance guidance

All Insights

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Ready to strengthen your compliance program?

Schedule a consultation with our team to discuss your firm's specific needs.

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