Compliance Expertise That Moves Your Business Forward
Expert compliance consulting for broker-dealers, bank dealers, and municipal advisors. Over 50 years of combined experience from former Wall Street compliance leaders.
Expert Compliance Solutions
Alternative Regulatory Solutions (ARS) was founded by Kimberly McManus to provide firms with a pro-business approach to regulatory compliance. Our team of industry professionals brings extensive experience in fixed income and asset management compliance, with particular expertise in the municipal market.
Municipal Advisor Compliance
Expert guidance for municipal advisors including registration, filings, written supervisory procedures, day-to-day assistance, surveillance programs, and regulatory exam support.
Broker-Dealer/Bank-Dealer Compliance
Comprehensive compliance services for fixed income groups including public finance, government banking, underwriting, institutional or retail sales, investment banking, trading, and derivatives.
RIA Compliance
Full-service compliance solutions for Registered Investment Advisors including Form ADV, compliance policies, annual reviews, and SEC examination support.
Our Core Capabilities
- Policies & Procedures - Develop comprehensive WSPs to address principal and compliance control infrastructures
- Regulatory Guidance - Continuous support on rule changes, interpretations, and best practices
- Training & Education - On-site and remote training for registered representatives and principals
- Surveillance Programs - Implementation and management of comprehensive surveillance systems
Why Choose ARS
- Largest municipal advisor compliance firm in the US, having completed more SEC MA audits than any other provider
- Over 75 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
Ready to Ensure Compliance Excellence?
Schedule a free consultation with our compliance experts to discuss your specific needs and how we can help your firm navigate regulatory requirements.
Book Your Free Consultation