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Hamilton Regulatory Partners
Contact
Email: jordan.wood@hamiltonregulatorypartners.com
Hamilton Regulatory Partners
Contact
Email: jordan.wood@hamiltonregulatorypartners.com
Contact
Email: jordan.wood@hamiltonregulatorypartners.com

Build the foundation

Put the filings and written standards that guide your firm’s compliance program in place.

Registration and Regulatory Filings

Assistance with registration applications, required filings, and amendments. We help prepare and update the information your firm submits as its business and reporting obligations change.

Compliance Policies and Procedures

Development and revision of written policies that reflect your firm’s activities and applicable requirements. Clear responsibilities and usable instructions help employees understand what is expected of them.

Code of Ethics

Preparation and updates to your firm’s Code of Ethics, addressing standards of conduct, conflicts of interest, and applicable employee reporting obligations.

Personal Trading Reviews

Review of employee personal securities transactions and related reports against your firm’s Code of Ethics. We help identify exceptions and matters that require follow-up.

Risk Assessment

Evaluation of compliance risks associated with your firm’s activities, business relationships, and existing controls. The findings help guide attention toward areas that warrant further review.

Testing of Compliance Policies and Procedures

Testing selected controls to assess whether practices follow written requirements. We identify discrepancies and communicate findings for your firm to address.

Maintain continuity through the year

Keep your compliance program current and preserve a clear record of the work completed.

Updates Regarding Regulatory Changes

Guidance on regulatory developments relevant to your firm. We explain how changes may affect existing policies, filings, or review activities and identify matters that need attention.

Annual Compliance Review

Assessment of your compliance program’s adequacy and implementation, including relevant business changes, identified risks, and findings from prior reviews.

Documentation of Compliance Reviews

Preparation of written records describing the scope of a review, the work performed, findings, and recommended follow-up. Clear documentation helps your firm track unresolved matters and retain the basis for its decisions.

© 2026 Hamilton Regulatory Partners. All rights reserved.

Address:
4120 Douglas Blvd
Granite Bay, CA 95746-5936

Email: jordan.wood@hamiltonregulatorypartners.com

Phone: (916) 546-9699