Reasons to hire a Securities Expert or Consultant may vary, its an important decision, you have options. If you are a Firm you may need an outside opinion on industry practices or need to outsource certain tasks. If you are an attorney you may need to evaluate a case and identify areas that are obligations owed to clients, versus disclosure duties of clients. Or, you may need an expert to provide an opinion and explain the forensic dynamics of a situation via testimony.
It helps to have someone with testimony and industry experience who has had the responsibilities and understands the duties of supervisors and registered employees. A Securities Expert can assist with helping you meet your regulatory & SRO obligations, or identifying a fraudulent activity.