Getting started is easier than you think

The Ara program can be implemented quickly and with less administrative hassle than the search, selection and training of a full-time compliance officer. Implementation takes place in four basic steps.

1

Review Visit
We undertake a discovery session with your firm's management to review and analyze the existing compliance structure and to get a better understanding of the firm's business. Based on what we learn, we draft - for your comment and approval - a compliance manual covering each significant compliance responsibility.

2

Implementation Visit
We assist your staff with the setup of a record-keeping system that will serve as a control and as documentary evidence of your firm's compliance structure. We also address any questions or concerns staff may have at the time.

3

Training Visit
We deliver a compliance seminar to all staff to introduce key elements of the compliance manual and to give practical guidance on how to fulfill their regulatory obligations.

4

Ongoing Support
We commence with the ongoing compliance support program.

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Vipool Desai

President

Vipool is President of
Ara Compliance Support,
which he co-founded
in 2006.

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