A VIGOROUS COMPLIANCE PROGRAM IS AN ESSENTIAL ELEMENT OF A FIRM’S OVERALL INFRASTRUCTURE
Regulatory requirements have taken center stage across the financial services industry, straining the resources of firms as they attempt to comply with a regulatory landscape that seems to be constantly evolving.
Our team combines hands-on experience with a robust technology platform to produce customizable compliance solutions and serve as your complete outsourced compliance resource.
AREAS OF EMPHASIS
COMPLIANCE PROGRAM
— In line with the requirements of securities regulators, we customize a solution for your particular needs. Our team continuously analyzes securities regulations and how they directly apply to your business and develops a tailored compliance program to satisfy regulators and ensure your firm remains current in its compliance obligations.
ANNUAL REVIEWS
— Since regulators look favorably upon a thorough review process conducted by experienced, independent professionals, our team of experts eliminates the worry for you with a comprehensive review service that covers all necessary areas of the firm and its compliance program.
SURVEILLANCE & MONITORING
— Regular monitoring of your firm’s compliance policies and procedures is crucial to maintaining a strong and robust compliance program. We believe a shifting regulatory landscape demands a dynamic approach to keep you ahead of the curve.
CONTACT:
Irwin Menken | 646-334-1245 | irwin@commfi.com
IMPLEMENTATION
- Full review and gap analysis of existing compliance infrastructure
- Customize plan to bring firm into full compliance with regulations
- Set up on C3 technology
REGULATORY INTERFACE
- Have experience with industry, state and federal regulators
- Prepare for and have led numerous regulatory audits
- Recognize current regulatory areas of emphasis and prepare clients accordingly