Practical Solutions
Kuria Consulting provides compliance, supervisory, and operational services across the full regulatory lifecycle, from initial registration through examination and ongoing testing. Every engagement is scoped to your firm's size, business model, and budget.
Different firms. Different needs. A clear path forward.
Launching or transitioning a firm.
The compliance program is in place but needs strengthening.
Supervisory responsibilities are established, but implementation and documentation could be strengthened.
Preparing for an examination or addressing deficiencies.
Support is needed to maintain an effective compliance program.
Compliance solutions for every stage of your firm's lifecycle.
Registration & Firm Formation
Getting registered correctly the first time.
Registration is where the SEC or state regulator forms its first impression of your firm, and where mistakes are most expensive to unwind. We manage the filings and build the underlying program at the same time, so that what you file and what you do actually match.
Compliance Program Development
A program written for your firm, not adapted from someone else’s.
A compliance manual that describes a firm you are not is a liability, not a protection. We draft, revise, and test the documents that define your program then make sure your team understands them.
Supervisory & Operational Oversight
Making oversight observable and provable.
Supervision is where broker-dealers and dually registered firms most often come apart under examination. Not because no one was supervising, but because nothing documented that they were.
Examination Readiness & Regulatory Response
Find the problems before the examiner does.
There is a large difference between a firm that is compliant and a firm that can demonstrate it inside a two-week document request. We prepare you for the second one.
Ongoing Support, Testing & Training
Compliance is judged on what you can demonstrate, not on what you intended.
Annual reviews, periodic testing, and documented training are what turn a program into a record.
