Cost-effective compliance solutions that enable you to operate at your fullest for an improved bottom line.
Dealing With Stricter Regulation
New and stricter regulations require greater expertise and place increased time demands on the resources of broker dealer firms. To efficiently fulfill ongoing compliance obligations and confidently reduce operational risks, CWI provides continuous support that helps broker-dealers stand up to regulatory scrutiny, retain regulatory controls and ensure compliance, while simultaneously saving time and money.
Broker Dealer Registration
We will work directly with your broker dealer firm’s managing principal or chief compliance officer to identify registration challenges, and we will then build and implement solutions to meet your regulatory responsibilities. We can relieve you of the burden of having to find competent licensing and registration personnel by performing all of your licensing and registration functions for you, or you can purchase à la carte services as the need arises.
Broker Dealer Compliance
Regulatory audits, inquiries, and reviews can cause costly business interruptions and are generally a distraction from activities focused on achieving core business objectives. The best way to minimize the impact of regulatory requirements and inquiries for a registered investment advisor is to implement a robust, firm-wide compliance program, and monitor its administration regularly.
Some of Our Most Frequent Broker Dealer services
Broker-Dealer Compliance Program Administration
Broker-Dealer Creation / Rehabilitation
Broker Dealer Registration
Annual Internal Review
Policies and Procedures Development and Updating
review and improve supervisory processes
Choose Your Path
Since you can change the service level at any time there is no pressure on getting it right at the start, but there are two approaches for clients to start with us:
Customized Outsourced Service Level Builder
When firms have a basic idea of what you want to outsource or have a budget number in mind, one phone call is all it takes working with a ComplianceWorks representative to prioritize the typical tasks for a firm like yours. There are some tasks that are very high value and others are based on the high degree of regulatory risk. As you move beyond those tasks, you now address your valuable time and where it is better spent.
For firms that want to focus on what they do not do well or have time to perform, starting with an internal review of the entire compliance program is often quite revealing and helpful. The typical review is $4000 and may be discounted if a monthly engagement soon follows. The weaknesses divulged in such a review are often a great starting point for what to assign to ComplianceWorks.
A Few Words from some of our Clients
Schedule your complimentary meeting and we'll be in touch soon!
Still wondering if ComplianceWorks is right for you?
Contact us to learn more.