Halyard Compliance

Halyard is a leading provider of highly customized regulatory compliance solutions to Broker-Dealers, Municipal Advisors, Funding Portals, FinTech, Crowdfunding companies and more.

Our solutions are designed to assist financial institutions navigate an ever-changing sea of regulatory and business challenges. Our clients range in size from regional firms to multi-national organizations in the financial services sector. We provide an array of services, including ongoing support services, regulatory reviews, AML auditing, procedure construction, crisis management and much more.

Broker-Dealers | Investment Advisors | Municipal Advisors | Funding Portals & Crowdfunding | Digital Currency & Money Service Businesses | FinTech | Anti-Money Laundering

FINRA | SEC | MSRB | CFTC | NFA | FCA | Blue Sky | JOBS ACT | FINCEN | BSA | USA PATRIOT ACT

Contributors

Brandon Klerk Unavailable
Compliance Consultant and Founder, Halyard Compliance LLC

Contacts

Brandon L. Klerk, CRCP, CAMS, CFE

Founding Principal

Highlights

Funding Portal Compliance

Our Regulation Crowdfunding Compliance Consultants have been assisting Funding Portals obtain and maintain SEC crowdfunding registration and FINRA Funding Portal membership since SEC Regulation Crowdfunding rules were enacted. 

Since the passage of the JOBS Act, Halyard has applied its proven expertise with the FINRA membership application process to assist Funding Portals in successfully obtaining FINRA Funding Portal membership.  We also assist crowdfunding intermediaries in the development of effective, efficient and practical compliance programs ℠ to navigate this new and evolving sea of regulatory requirements.

We provide a highly customized suite of services, including FINRA FP-NMA and ongoing support services.  Other services include:

  • FINRA Funding Portal Applications
  • FINRA Continuing Membership Applications
  • SEC Registration and Form Filings (Form FP)
  • Funding Portal Navigation and Content Review Services
  • Written Supervisory Procedures and Compliance Manual Construction
  • Educational Material Development
  • Marketing Material Reviews
  • Supervisory System Guidance and Reviews
  • Ongoing Funding Portal Compliance Support Services
  • FINRA and SEC Examination and Inquiry Support Services
  • Core Compliance Solutions

Regulation Crowdfunding Compliance
Regulation CF is evolving again, so contact us now to discuss our proven equity crowdfunding compliance services that are tailored to your needs as a start-up.

Title III of the Jumpstart Our Business Startups (“JOBS”) Act, enacted in 2012 with the goal of increasing American job creation and economic growth, contains key provisions relating to securities offered or sold through “crowdfunding.” Under Section 302 of the JOBS Act, a crowdfunding intermediary that engages in crowdfunding on behalf of issuers relying on the JOBS Act’s “crowdfunding exemption” is required to register with the SEC as a “funding portal” or broker and to register with an applicable self-regulatory organization.” [i.e. FINRA].  – SEC Release No. 34-76239

Our Funding Portal Compliance Consultants have broad expertise and a deep understanding of crowdfunding rules, regulations and effective operational processes.  

Contact us today to discuss our proven and highly customized Funding Portal and Crowdfunding Compliance Support Services.

 

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