Governance turns responsibility into a system.

Make accountability visible.

Governance support can bring recurring decisions, responsibilities, records and open items into a documented operating structure.

• Governance calendars and recurring actions
• Board and committee administration support
• Entity records, resolutions and minutes support
• Policies and responsibility structures
• Open-item and escalation tracking

Outside responsibilities still need structure.

Registered Representatives, Investment Adviser Representatives, executives and other independent professionals may operate S-Corps, LLCs, consulting businesses, board roles or other outside entities that create their own governance and documentation needs.

This service is distinct from the regulated firm's supervisory conflict-management responsibilities.

Registered Person & IAR Conflict Management

For broker-dealers and investment advisers that need recurring monitoring of OBA/PSA, outside accounts, client and representative activity, public records, background reviews and disclosure changes.