Our services
Customized compliance programs hold immense value because they are precisely tailored to the unique needs and circumstances of each client. In essence, customized compliance programs are a strategic investment that not only ensures regulatory adherence but also supports the overall health and growth of your business.
- Resource Optimization: For small firms without extensive compliance resources, tailored programs ensure that available resources are used effectively, preventing overextension.
- Competitive Advantage: Instilling trust, customized programs can help your firm stand out by demonstrating a proactive commitment to compliance, fostering confidence among clients and investors.
- Precision: Customization ensures that compliance efforts are targeted specifically at the regulatory requirements that apply to your business, avoiding unnecessary burdens.
- Efficiency: By aligning with your specific operations, these programs are more efficient and cost-effective, focusing resources where they are most needed.
- Risk Mitigation: Tailored programs identify and address the specific risks your business faces, reducing the chances of compliance violations and associated penalties.
- Adaptability: They can adapt to changes in regulations and the evolving nature of your business, maintaining compliance as circumstances evolve.
Compliance program services
Broker-Dealer Services
Our comprehensive services can be seamlessly provided either through our Outsourced Chief Compliance Officer (CCO) or in collaboration with an in-house CCO. This flexibility allows clients to choose the arrangement that best suits their unique requirements. Whether opting for a dedicated ICC CCO or complementing an existing in-house team, our contracts are meticulously customized to address the specific needs of each client. This tailored approach ensures that regulatory compliance is optimally managed, providing a robust and adaptable solution for every client’s compliance needs.
Internal Testing Support
- 3310 AML Program Review
- 3120 Compliance Program Review
- 3110 Books & Records Inspection
- 15c3-5 Market Access Testing
Compliance Program
- Regularly Scheduled Calls
- Reminders of FINRA/SEC Mandated Events
- Reminders of Firm Specific Obligations
- Annual Compliance Meeting
- Manual Updates
- Discussion on Current Trends
- Annual Compliance Questionnaire
- Marketing Review
Firm Element Continuing Education
- Needs Analysis
- CE Program
- Courses (assigned and tracked)
Compliance Desk Platform
- Innovative Proprietary System
- Customized to Your Specific Operational Needs
- Built by Compliance Professionals
- Documentation of Compliance Program
- Customized Reporting
Regulatory Dialogue Support
- FINRA Cycle Exams
- SEC/FINRA Requests
- State Inquiries
- Correspondence from Regulators
- Firm Initiated Contact
Consulting
- Creative Solutions for Diverse Challenges
- Practical Solutions for Small Firms
- Researching Unique Topics
Gateway Administration
- U4s
- U5s
- Form BD
- Form BR
- Complaint Filings
- Employee On-boarding
Investment Adviser Services
Our comprehensive services can be seamlessly provided either through our Outsourced Chief Compliance Officer (CCO) or in collaboration with an in-house CCO. This flexibility allows clients to choose the arrangement that best suits their unique requirements. Whether opting for a dedicated ICC CCO or complementing an existing in-house team, our contracts are meticulously customized to address the specific needs of each client. This tailored approach ensures that regulatory compliance is optimally managed, providing a robust and adaptable solution for every client’s compliance needs.
Internal Testing Support
- 206(4)-7 Annual Review
- Branch Exams
Compliance Program
- Regularly Scheduled Calls
- Reminders of SEC Mandated Events
- Reminders of Firm Specific Obligations
- Manual Updates
- Discussion on Current Trends
- Marketing Review
Compliance Desk Platform
- Innovative Proprietary System
- Customized to Your Specific Operational Needs
- Built by Compliance Professionals
- Documentation of Compliance Program
- Customized Reporting
Regulatory Dialogue Support
- SEC/State Exams & Inquiries
- Firm Initiated Contact
Consulting
- Creative Solutions for Diverse Challenges
- Practical Solutions for Small Firms
- Researching Unique Topics
Gateway Administration
- Registrations
- Compliance Filings
- Employee On-boarding
Firm Registrations
Our firm registration services serve as a vital bridge between your business and regulatory authorities. Acting as a dedicated liaison, we facilitate seamless communication and interaction with regulators on behalf of your firm. Whether you are establishing a new entity or navigating regulatory changes, our expertise ensures a smooth and compliant registration process.
Registration Services
- Questionnaire sent to client
- Kick-off call
- Assigning roles
- Describing the process and regulatory expectations
- Estimate of timelines
- Calendar
- Schedule of required documents
- Highlighting key events
- Regularly scheduled and/or ad hoc calls
- Assistance with critical items (e.g. manuals, on-boarding documents, etc.)
- Response to regulatory inquiries
Compliance Desk Platform
- Innovative Proprietary System
- Customized to Your Specific Operational Needs
- Built by Compliance Professionals
- Documentation of Compliance Program
- Customized Reporting
CFTC/NFA Member Services
Our firm registration services serve as a vital bridge between your business and regulatory authorities. Acting as a dedicated liaison, we facilitate seamless communication and interaction with regulators on behalf of your firm. Whether you are establishing a new entity or navigating regulatory changes, our expertise ensures a smooth and compliant registration process.
CFTC/NFA Registration & Membership
- Commodity Pool Operator (CPO)
- Commodity Trading Adviser (CTA)
- Introducing Broker (IB)
- Online Registration System (ORS) Form 7-R
- Principal & Associated Persons (AP) Registration
- ORS Form 8-R
Compliance Program
- Regularly Scheduled Calls
- Reminders of CFTC/NFA Requirements
- Ongoing Communication Regarding NFA Rules & Regulations
Compliance Desk Platform
- Innovative Proprietary System
- Customized to Your Specific Operational Needs
- Built by Compliance Professionals
- Documentation of Compliance Program
- Customized Reporting
Electronic Filing Administration
- Electronic Disclosure Document Filing System (CPO & CTA)
- EasyFile (Quarterly & Annual Reports)
- WinJammer (IB FOCUS Filings)
- Anti-Money Laundering (AML) Procedures System
- NFA’s Regulatory Filing System
Regulatory Support
- CFTC/NFA Requests
- NFA Examination Support
- Monitored and Updated Policies & Procedures
- Ethics Training
- Reminders of Firm-Specific Obligations
- Attend Member Regulatory Workshops
- NFA Annual Questionnaire