Broker-Dealers

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. We 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 the firm. 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 broker-dealer 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 they want to outsource or have a budget number in mind, one phone call is all it takes to begin working with a ComplianceWorks.  We discuss options and decide how to prioritize the typical tasks for a firm like yours. There may be very high-value tasks or urgent tasks based on the high degree of regulatory risk. As you move beyond those tasks, you can then spend your time doing things that will generate revenue for your firm.

Firm Review

For firms that are lacking experience in compliance and/or don’t have time to perform tasks, starting with an internal review of the entire compliance program is often quite revealing and helpful. The typical review is $4000 with a discounted price 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.

ComplianceWork Insights

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A Few Words from some of our Clients

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