Thought leadership and practical guidance from our compliance experts.
Starting a municipal advisory firm can be a rewarding way to build a specialized financial services business and play a meaningful role in public finance. This practical guide covers everything from SEC and MSRB registration to licensing, compliance frameworks, and ongoing oversight.
By ARS Team | Getting Started
One of the most critical strategic decisions facing municipal advisory firms is how to structure their compliance function. Should you hire a dedicated in-house compliance officer, or partner with an experienced compliance consultant? The answer depends on your firm's size, complexity, growth trajectory, and resources.
By ARS Team | Compliance Strategy