COMPLIANCE COUNSEL

LEGAL AND BUSINESS CONSULTING SERVICES, NAMELY, PROVIDING LEGAL AND BUSINESS SERVICES AND RELATED INFORMATION TO BROKER-DEALER FIRMS, INVESTMENT ADVISORY FIRMS, INVESTMENT ADVISERS, REGISTERED REPRESENTATIVES, REGISTERED PRINCIPALS, INVESTMENT COMPANIES AND OTHERS PERSONS OR ENTITIES IN FINANCIAL AND INVESTMENT RELATED FIELDS ON COMPLIANCE-RELATED MATTERS, POLICIES AND PROCEDURES, REGISTRATIONS AND/OR OTHER REGULATORY ISSUES PROVIDED IN PERSON AND/OR DELIVERED VIA THE INTERNET AND/OR AN INTRANET