About
Our story
Founded in 2009, ARS is the largest municipal advisor compliance firm in the US.
Our Story
Kim McManus brought together a team of industry professionals with extensive experience in fixed income and asset management compliance, with particular expertise in the municipal market.
ARS was established to provide firms with a pro-business approach to regulatory compliance. We understand that compliance is not just about meeting regulatory requirements, it's about enabling your business to operate with confidence and integrity in an ever-changing regulatory landscape.
Our team has been instrumental in positive outcomes regarding regulatory exams, inquiries, and investigations with the SEC, FINRA, and MSRB. This experience gives us unique insights into what regulators expect and how to position your firm for success.
We know better than most, that strong compliance programs are the best defense against regulatory scrutiny. We designed ARS's program to allow you to focus on your core business while we handle the compliance details.
What We Do
ARS has contracted with numerous national, regional and small boutique firms in conducting comprehensive regulatory compliance services including:
- Completing extensive new and existing firm changes specific to FINRA's new and continuing member application for broker-dealers and SEC/MSRB forms for municipal advisors
- Writing policies and procedures to comply with MSRB, SEC and FINRA regulations
- Creating, implementing and carrying out surveillance programs
- Training registered representatives and principals on rules and regulations
- Providing regulatory guidance on new rules, rule changes and interpretations
- Assisting in regulatory exams, inquiries, subpoenas and internal audits
Our Core Values
The principles that guide our approach to compliance consulting
Pro-Business Approach
We understand the balance between compliance and business growth, providing practical solutions that support your objectives.
Proven Expertise
With over 100 years of combined experience, our team has worked with national, regional, and boutique firms across the industry.
Dedicated Partnership
We act as an extension of your team, providing continuous support and guidance tailored to your firm's unique needs.
Leadership
Meet Our Leadership Team
Our team brings decades of experience from top-tier financial institutions including Wachovia/Wells Fargo, Chase Manhattan Bank, Lord Abbett, and Brown Brothers.
View Our Team- 100+ years of combined experience across fixed income, public finance, and regulatory compliance
- Former compliance leadership at Wachovia/Wells Fargo, Chase Manhattan Bank, Lord Abbett, and Brown Brothers
- Instrumental in positive outcomes with the SEC, FINRA, and MSRB
Get Started
Let's Discuss Your Compliance Needs
Contact us today for a consultation to learn how ARS can support your firm's compliance objectives.