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Peter Flynn Esq. - Broker/Dealer and Investment Advisor Regulatory Solutions

Law Office of Peter Flynn. Broker/Dealer and Investment Advisor Regulatory Solutions. Some of the broad array of services offered to Firms, CEO’s and compliance and operational professionals include:. Preparing for the exam. Review (and participate) in Exit Interviews. Draft response to Exit Interview letters. Support for the Compliance Officer:. Regulatory issues and questions. Continuing updates on current trends. Temporary Financial and Operational Principal services. Annual CEO certification reviews.

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Peter Flynn Esq. - Broker/Dealer and Investment Advisor Regulatory Solutions | peterflynnesq.com Reviews
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Law Office of Peter Flynn. Broker/Dealer and Investment Advisor Regulatory Solutions. Some of the broad array of services offered to Firms, CEO’s and compliance and operational professionals include:. Preparing for the exam. Review (and participate) in Exit Interviews. Draft response to Exit Interview letters. Support for the Compliance Officer:. Regulatory issues and questions. Continuing updates on current trends. Temporary Financial and Operational Principal services. Annual CEO certification reviews.
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1 coordinating sec/nasd examinations
2 responding to inquiries
3 special projects
4 aml annual reviews
5 general counsel services
6 reviewing vendor contacts
7 employment agreements
8 corporate governance matters
9 coupons
10 reviews
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coordinating sec/nasd examinations,responding to inquiries,special projects,aml annual reviews,general counsel services,reviewing vendor contacts,employment agreements,corporate governance matters
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Peter Flynn Esq. - Broker/Dealer and Investment Advisor Regulatory Solutions | peterflynnesq.com Reviews

https://peterflynnesq.com

Law Office of Peter Flynn. Broker/Dealer and Investment Advisor Regulatory Solutions. Some of the broad array of services offered to Firms, CEO’s and compliance and operational professionals include:. Preparing for the exam. Review (and participate) in Exit Interviews. Draft response to Exit Interview letters. Support for the Compliance Officer:. Regulatory issues and questions. Continuing updates on current trends. Temporary Financial and Operational Principal services. Annual CEO certification reviews.

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Peter Flynn Esq. - Broker/Dealer and Investment Advisor Regulatory Solutions

http://www.peterflynnesq.com/default.aspx

Law Office of Peter Flynn. Broker/Dealer and Investment Advisor Regulatory Solutions. Some of the broad array of services offered to Firms, CEO’s and compliance and operational professionals include:. Preparing for the exam. Review (and participate) in Exit Interviews. Draft response to Exit Interview letters. Support for the Compliance Officer:. Regulatory issues and questions. Continuing updates on current trends. Temporary Financial and Operational Principal services. Annual CEO certification reviews.

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Peter Flynn Esq. - Broker/Dealer and Investment Advisor Regulatory Solutions

http://www.peterflynnesq.com/CurriculumVitae.aspx

Law Office of Peter Flynn. Broker/Dealer and Investment Advisor Regulatory Solutions. June 2006 to Present. August 1995 June 2006. Chief Legal and Compliance Officer. Leerink Swann and Co., Inc. Boston, MA 02110. June 1973 - August 1995. U S Securities and Exchange Commission. Boston Regional (district) office. Boston, MA 02109. Mr Flynn held a number of senior level positions over a 22-year career at the Commission including Special Counsel and Assistant Regional Administrator. As Assistant Regional...

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Peter Flynn Esq. - Broker/Dealer and Investment Advisor Regulatory Solutions

Law Office of Peter Flynn. Broker/Dealer and Investment Advisor Regulatory Solutions. Some of the broad array of services offered to Firms, CEO’s and compliance and operational professionals include:. Preparing for the exam. Review (and participate) in Exit Interviews. Draft response to Exit Interview letters. Support for the Compliance Officer:. Regulatory issues and questions. Continuing updates on current trends. Temporary Financial and Operational Principal services. Annual CEO certification reviews.

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