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.
Regulatory and Compliance Services for Investment Advisers and Financial Services Firms
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
Customer Dispute & Account Review
Risk-based guidance addressing fiduciary obligations, operational controls, policies and procedures, books and records, vendor oversight, and compliance infrastructure.
Investor Services
Something doesn't look right in your investment account? You don't have to figure it out alone.
Smith Regulatory Advisory provides independent review and assessment for investors with concerns about activity in their brokerage or investment advisory accounts.
Whether you are questioning a transaction, trying to understand an unexpected account change, or have spent months attempting to resolve an issue with a financial institution, SRA can help reconstruct what happened and identify the options available to you.
SRA assists with concerns involving disputed or unauthorized transactions, unexpected portfolio changes or liquidations, account errors, unexpected tax consequences, and customer complaints that have not been adequately resolved.
We review account records, transactions, agreements, disclosures, and communications to reconstruct what occurred, assess what the documentary record supports, and identify appropriate next steps.
We follow the evidence—not assumptions.
Learn more about Customer Dispute & Account Review →
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, other operational or compliance support, or investor concerns, please submit your inquiry to cmsmith@smithregulatoryadvisory.com.