We help alleviate the anxiety that comes with being held to complex security regulation and, if unaddressed, the anxiety that comes from a failure to comply.
For the cost of an administrative assistant or less, our team will assist in the establishment and ongoing management of a compliance structure that is effective and appropriate to your firm.
Clients benefit from access to a team of experienced compliance and registration professionals rather than a single individual.
Because Ara only deals with limited types of registrations and business models, our clients also benefit from our deep understanding of issues specific to their business.
There are many professionals with some legal, regulatory or employment background in securities compliance. However, our industry suffers from a general shortage of compliance experience that can effectively apply these requirements to the technology, operations and competitive realities of small and mid-size registrants.
Independent firms are held to the same standard as their national and major regional competitors, but often lack access to resources to effectively manage their compliance obligations. They are typically unable to recruit senior experienced compliance professionals and often rely on external counsel who may not be proficient in the application of registrant regulation. Independent firms need a better solution.
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Vipool DesaiPresident
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Vipool is President of
Ara Compliance Support,
which he co-founded
in 2006.