GLBA News

Sutro Group to Provides High-level Compliance Solutions to the Securities Industry.

(Nov 06, 2007)-- Providing regulatory and compliance consulting services to the securities industry, The Sutro Group LLC (“Sutro”) has launched in San Francisco, CA. Steering the company are principals John Chung, Mary Jane Delaney and Fergus Henehan, prominent financial services executives who together bring decades of focused securities industry experience to the firm. Sutro offers highly qualified compliance and HR consulting services to attorneys, broker-dealers and investment advisers, featuring a specialized expertise in policy and procedure reviews, risk management, training, testing and audit.

Acknowledged experts in the fields of suitability, supervision, industry rules, regulations and standards of care, the Sutro team has significant experience managing legal, compliance, operations and HR departments at major financial institutions, negotiating with regulators and implementing policies and procedures that meet the demands of evolving regulatory standards.

“The Sutro Group is a team of dedicated, experienced and independent securities industry veterans who have seen it all and done it all in the industry’s compliance, risk, regulatory, litigation, operations and HR arenas,” said Mary Jane Delaney. “In this world of increased regulatory scrutiny, financial services firms need all the help they can get. We have the right people and the know-how to position clients to respond successfully to the complex challenges of today’s regulatory environment.”

Sutro offers assistance in developing and integrating comprehensive compliance, supervisory and departmental policies and procedures. The new firm also specializes in risk management, testing and audit and trains staff at all levels to ensure understanding, proficiency and compliance with industry standards.

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