Expert Compliance Solutions

Our Story

Kim McManus brought together a team of industry professionals with extensive experience in fixed income and asset management compliance, with particular expertise in the municipal market.

ARS was established to provide firms with a pro-business approach to regulatory compliance. We understand that compliance is not just about meeting regulatory requirements—it's about enabling your business to operate with confidence and integrity in an ever-changing regulatory landscape.

Our team has been instrumental in positive outcomes regarding regulatory exams, inquiries, and investigations with the SEC, FINRA, and MSRB. This experience gives us unique insights into what regulators expect and how to position your firm for success.

We know better than most, that strong compliance programs are the best defense against regulatory scrutiny. We designed ARS's program to allow you to focus on your core business while we handle the compliance details.

What We Do

ARS has contracted with numerous national, regional and small boutique firms in conducting comprehensive regulatory compliance services including:

• Completing extensive new and existing firm changes specific to FINRA's new and continuing member application for broker-dealers and SEC/MSRB forms for municipal advisors
• Writing policies and procedures to comply with MSRB, SEC and FINRA regulations
• Creating, implementing and carrying out surveillance programs
• Training registered representatives and principals on rules and regulations
• Providing regulatory guidance on new rules, rule changes and interpretations
• Assisting in regulatory exams, inquiries, subpoenas and internal audits

Our Core Values

Pro-Business Approach

We understand the balance between compliance and business growth, providing practical solutions that support your objectives.

Proven Expertise

With over 75 years of combined experience, our team has worked with national, regional, and boutique firms across the industry.

Dedicated Partnership

We act as an extension of your team, providing continuous support and guidance tailored to your firm's unique needs.

Meet Our Leadership Team

Our team brings decades of experience from top-tier financial institutions including Wachovia/Wells Fargo, Chase Manhattan Bank, Lord Abbett, and Brown Brothers.