Practical Regulatory Guidance for an Evolving Financial Services Industry
Catherine Smith is the founder of Smith Regulatory Advisory LLC, a boutique regulatory and compliance advisory practice serving RIAs, broker-dealers, and financial services firms. Drawing on experience across both the public and private sectors, Catherine brings an uncommon breadth of experience spanning regulatory oversight, SEC examinations, compliance program development, institutional advisory operations, legal counseling, and compliance risk management.
Advisory Services
Regulatory Examination Support
Practical guidance relating to SEC and state examinations, deficiency responses, document production, and remediation efforts.
Marketing Rule & Advertising Reviews
Review of websites, social media, investor communications, and advertising materials for compliance considerations.
Operational Compliance Consulting
Risk-based guidance addressing fiduciary obligations, operational controls, policies and procedures, books and records, vendor oversight, and compliance infrastructure.
SEC and State Registration
Guidance relating to investment adviser registration, state notice filings, and regulatory onboarding requirements.
Form ADV and Disclosure Reviews
Preparation and review of Form ADV disclosures, compliance documentation, and client-facing regulatory materials.
Compliance Program Development
Development and enhancement of compliance manuals, policies, procedures, and supervisory frameworks tailored to firm operations.
Get in Touch
For inquiries regarding regulatory compliance, SEC examinations, Form ADV matters, or other operational compliance support, please submit the form below.