H.S. Grace & Company, Inc.
Expertise


Our advisors, all with a quarter-century or more of experience, bring extensive hands-on expertise across the industry in addressing specific needs in these areas:

Investment Management

  • Trading strategies
  • Hedging and risk management
  • Securities
  • Domestic and foreign
  • Fixed income
  • Equities
  • Support systems
  • Pricing
  • Recordkeeping
  • Regulatory compliance issues


Broker-Dealer

  • Recordkeeping and other support systems
  • Regulatory compliance issues (including 15c3-3)
  • Safeguarding customer assets
  • Best practice recommendations
  • Policies and procedures, including written supervisory procedures
  • Anti-money laundering procedures
  • Branch reviews, including operations and sales practices compliance
  • Operational risk management review


Transfer Agency

  • Recordkeeping systems
  • Regulatory compliance issues
  • Market timing surveillance of Rule 22c-2
  • Due diligence effort
  • Identity theft risks
  • Safeguarding customer assets
  • Policies and procedures
  • Work flow reviews
  • Best practice recommendations
  • Operational risk management review
  • Structural and procedural review

Governance, risk and compliance pose complex challenges. H.S. Grace & Company, Inc. financial advisory services can help keep you on track, whether you are charting a safe course for an upcoming venture, making sure an endeavor is adhering to its route or resolving issues resulting from wrong turns.