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Fundamental Compliance Consulting, Llc

Pocket Risk has been profiled in Financial Planning Magazine and John Ndege was awarded one of the «Top 10 To Watch in 2015» by Existing customers manage anything from tens of millions all the way up to multiple billions. As a preferred partner Pocket Risk is happy to offer a 10% discount off all published pricing starting at $79 a month for advisors trading on the IBKR platform.

Compliance Services for Brokers

Broker Audit Pro provides mortgage brokers with support and guidance through the auditing process. With Broker Audit Pro, you will have a dedicated Compliance Consultant What is Compliance for brokers to advise you in responding to the examiner. Exclusive pricing on all compliance and licensing support services that enable you to focus on growing your business.

Compliance And Licensing Support For Brokers Small And Large

You may find useful information on compliance topics of interest to investment advisors on the website of the Securities and Financial Markets Association («SIFMA»), an industry trade group representing securities firms, banks, and asset management companies. At Compliance Risk Concepts, we provide clients with the critical skills and expertise required to establish, maintain and enhance a balanced and effective compliance operational risk management program. Contact us for more information on how we can provide financial consulting services for your organization. SIRS has developed AML compliance programs for many of the non-bank financial institutions regulated by the BSA. Each of SIRS’ industry-specific AML compliance programs includes the written policies, procedures, and internal controls required by BSA regulations. Interactive Brokers has provided this list to help advisors trading on the IBKR platform find prominent third-party compliance providers.

  • Receive the latest news, in depth features and white papers on the fast changing issues for the fund industry.
  • With over 40 years of combined experience, our highly-qualified compliance team can help you improve efficiency, increase profitability, and make your job easier.
  • Audit preparation and support across regulatory compliance initiatives including Dodd Frank Regulations, Sales and Trading, Investment Advisor and Broker Dealer regulatory requirements.
  • Please be advised that we cannot provide legal advice or address specific situations prior to being engaged.
  • So with more than a decade of experience in regulation, our team will provide you with guidance you can trust.

The educational content we make is customized with your logo, colors — even your voice in videos. Content is based on a continuing professional education program for CFPs, CPAs, CIMAs, CPWAs, ChFCs, CLUs, EAs and other accredited professionals at Since 1996, independent financial professionals have entrusted Advisor Products with their client communications. Our family of firms includes ComplySci, RIA in a Box, NRS, Illumis, and Itegria. Together, we offer a full suite of governance, risk, and compliance consulting, technology, managed services, analytics, and outsourcing solutions to more than 7,000 customers globally.

Navia 5500 Late Filing Solutions

Oxon is a provider of top-tier performance reporting services to asset management firms. Our package provides 9 functional reports including Management Dashboard, Performance Summary, Risk-Return Statistics, Dynamic Groupings, Heatmap Matrix, Value Range Analysis, Chart Book, Time Series Retriever and Fund List Customizer. Oxon can help various investment professionals of your firm located in different countries to review portfolio performance and analytics on the same page. With just a few clicks, you can quickly identify outlying strategies, monitor fund flows and unhide critical performance issues.

Our specialists can help with registration and FINRA compliance requirements, as well as assist with the development of effective written supervisory procedures. For established broker-dealers, we offer assistance for those requiring updates to membership applications, as well as guidance with ever-evolving regulatory standards to ensure requirements and deadlines are met. Our compliance team has over 40 years of experience within compliance functions both in-house, at regulated brokerage and investment banking firms and also out-house at regulatory organisations themselves. Our in-depth understanding of regulatory requirements and the everyday commercial realities of the industry are driven by direct experience in the regulatory environment tempered by an understanding of the way regulators think. This enables us to provide prompt, relevant and practical advice in a cost-efficient manner.

Starting and registering your own advisory firm offers many benefits, including independence and the ability to control the advisory services your clients receive. But this increased freedom and control come with additional responsibilities, including making sure you comply with applicable state and federal rules. Anglia Compliance was established in 2010 by Peter Spencer to provide insurance firms with access to his 26 years of compliance experience that stretches across brokers, agents, insurers and administrators subject to UK and international regulations. With 10 years experience of the Lloyd’s market and its huge range of products and nearly 12 years of experience of international private medical insurance Peter Spencer is well placed to assist regulated businesses in meeting their regulatory and statutory obligations. The Investment Advisers Act of 1940 requires investment advisers to review, no less frequently than annually, the adequacy of the policies and procedures and the effectiveness of their implementation.

Hipaa Compliance

Red Oak Compliance is quick and attentive to our needs and they have proven themselves to be in command of the nuances of RIA and securities regulation compliance for our fund. It’s the one area of my operation that I outsource and I have complete faith in their abilities. Whether you are looking for the essentials or ready to offload time-consuming compliance tasks. SCP will assist in filing your Mortgage Call Report through the Nationwide Multistate Licensing System & Registry in compliance with federal mortgage origination laws. Having experienced the world’s biggest and deadliest coronavirus outbreak, New York is behind most other states in coming out of lockdown, but its reopening is firmly underway.

These notices describe the method used to calculate the fee, the amount of the fee and the period covered by the fee. SEC-registered advisors, advisors thinking about registering with the SEC or advisors just looking for more information on the federal rules affecting investment advisors may find the following links to the SEC’s website helpful. As of February 10, 2021, every health plan needs to have a detailed analysis on-hand to show how they meet these requirements. To make things even more complicated, the DOL is now required to audit these analyses—maybe even yours… Then, the DOL and HHS must issue an annual report to Congress detailing the results of these reviews, including the names of noncompliant plans. We receive, collect and store any information you enter on our website or provide us in any other way. In addition, we collect the Internet protocol address used to connect your computer to the Internet; login; e-mail address; password; computer and connection information and purchase history.

ITEGRIA is a strategic technology partner that works exclusively with Registered Investment Advisors. As a technology expert in the RIA space, ITEGRIA understands the importance of cyber security from both a technical and regulatory perspective. AdvisorGuard solution is designed to give you the information to protect your firm and help meet SEC cyber security compliance mandates. AdvisorGuard will also give your system an extra layer of protection by deploying a multi-factor authentication methodology to all of your workstations and servers. Our diagnostic report will pinpoint all the weaknesses that could leave you at risk for malicious and criminal behavior that could compromise your and your clients’ most sensitive information.

FCA faults board oversight of compliance in fining Sigma Broking $589K – Compliance Week

FCA faults board oversight of compliance in fining Sigma Broking $589K.

Posted: Fri, 07 Oct 2022 19:15:11 GMT [source]

Through Pre-Trade Compliance tools, Advisors can create reports which reflect any trade and holdings restrictions that have been set on accounts your firm manages or on individual traders from your firm. Advisors can also create «watch list» reports which will be generated at regular intervals about trading by one or more accounts or users the «watchlists» are on. The state securities regulators publish information and guidance on their websites. Select your state, province or territory, to find helpful resources, including contact information for state and provincial securities regulators and other resources those agencies provide.

our Team Is Dedicated To Delivering Quality, Innovative, And Value

We have also included a series of links on this page demonstrating IBKR’s fitness as a custodian and broker. Since 2006, our focus on independent business models and the needs of our clients have made us one of the most trusted consulting firms among advisors, RIAs, IBDs and clearing firms. If you need additional information about the software tools Interactive Brokers offers to advisors trading on its platform, please visit the Innovative Technology and Advisor Portal tabs or see the Account Management Users’ Guide to learn more.

Compliance Services for Brokers

We strive to use your insights to effectively design a customized compliance solution that addresses regulatory requirements and establishes best practices. Our staff combines decades of hands-on experience with the highest customer service standards to provide innovative and efficient compliance consulting. Regulatory Ridge, LLC is a boutique consulting firm that provides legal and compliance solutions for alternative trading systems, broker-dealers, electronic stock exchanges, investment advisors, municipal advisors, municipal underwriters, and more. Our team is comprised of former FINRA regulators with salient insights into how your organization can successfully navigate the current regulatory landscape.

Get Customized Broker

Our courses provide an engaging and interactive learning experience that are situational and scenario based, which is proven to increase retention and to change behavior. Oyster Consulting can help you start your firm on the right path by efficiently registering your new RIA, creating policies and procedures and implementing your compliance program. We will provide ongoing support as an outsource provider, or provide targeted support through mock exams, training and maintaining your program. Oyster Consultants have over 1,000 years of combined experience helping people like you start, grow, run and protect their businesses.

Global Compliance Group is a boutique Management Consulting firm with extensive experience in the Financial Services Industry. We provide innovative insights and strategic solutions in a constantly evolving regulatory environment. The firm utilizes its expertise to support financial services, legal, and technology providers. Pocket Risk is an online risk questionnaire for RIAs, Hybrids, IARs, Broker-Dealers and asset managers. The online questionnaire helps you understand how much risk your client is comfortable taking with their assets. The questionnaire is based on academic research, scientific testing and the real-world experience of advisors and clients.

Compliance Services for Brokers

Navia offers tailored ERISA plan designs that cover 5500 filings, customized document generation and participant notifications, government reporting, regulatory guidance, and technical assistance. Red Oak can augment your personnel’s skills and reduce your compliance burden with our à la carte services. These services cover the registration, compliance, or supervisory need that a broker/dealer may have. With over 40 years of combined experience, our highly-qualified compliance team can help you improve efficiency, increase profitability, and make your job easier.

NRS is staffed with veteran compliance and registration specialists, including industry CCOs and attorneys. Our consultants combine their knowledge of regulations and industry best practices to provide sound and practical guidance designed to meet your firm’s specific business needs. Interactive Brokers is providing the RIA Compliance Center webpage for educational and information purposes only. This information should not be construed as legal advice and has not been tailored to address the particular circumstances of you or any other advisor. At Compliance Advisers, our consultants are committed to providing clients with only the best customized regulatory compliance consulting services and products. Robo-advisory firms leverage the technologies of algorithmic trading as a selling point to clients in marketing and solicitation.

The Deliquent Filer Voluntary Compliance Program allows employers to pay reduced civil fines if they have filed Form 5500 late. Reduced fines are available if employers voluntarily apply for this program and if Form 5500 filings are made prior to the stated date by the Department of Labor . Applicable Large Employers , who within the previous year, had 50 or more full-time employees (including full-time equivalent employees) must report certain information on the IRS Form 1094-C and 1095-C.

Regulatory And Compliance

Please note that your state securities regulator may expect you to provide notice of relying on this invoice process in their Form ADV filings. Given that state laws vary, investment advisors may want to confirm with their legal counsel or compliance consultant that the invoice provided by Interactive Brokers satisfies your specific state requirements. For instance, some states may still expect advisors themselves to provide copies of this itemized invoice to their clients to satisfy the requirements of this provision . Most investment advisors in the U.S. or with U.S. clients need to register with the SEC or the state where they conduct business, make a series of regulatory filings, and meet ongoing compliance and regulatory requirements.

AdvisorAssist is a management consulting firm focused exclusively on serving investment advisory firms. Through consultative services and outsourcing, we provide expertise, resources and actionable solutions that enable investment advisors to achieve their full potential. AdvisorAssist is dedicated to fostering entrepreneurship within the investment advisory industry, empowering advisors to run their «practice» like a «business» and helping advisors increase the enterprise value of their firms.

Our Compliance Services Include The Following:

We take a holistic, 360 degree approach, leaving no stone unturned, to foster a culture of compliance that provides you with peace of mind needed to effectively run your business. Our experienced team of professionals works with you to analyze, implement and maintain your own specialized compliance program with the goal of enhancing strengths, mitigating risks, and leveraging opportunities. Elinphant is a synergistic group of professionals with a variety of backgrounds and deep knowledge across the financial services industry. Each member of the Elinphant team has proven themselves capable of quickly and accurately assessing a firm’s needs, providing succinct advice, and delivering high quality work in a timely manner.

To qualify for tax-favored status, your benefit plan must prove it does not discriminate in favor of certain highly-paid employees. Our Non-Discrimination Testing Specialist will review your demographics and provide you with results and recommendations. Led by our team of industry experts providing a complete array of features, Compass will effortlessly guide you away from confusion and towards peace-of-mind. Navia provides complete support, which allows employers to spend only 15 minutes per month handling ACA Reporting requirements.

To comply with the ERISA regulations, you need to provide the required documentation, time sensitive notices, and government reporting. Navia provides uniformity and protection by managing all aspects of ERISA compliance. Full-time employees are those who work 30 or more hours per week or an average of 130 hours a month. The staff is very knowledgeable and friendly, they made obtaining home insurance easy for me. They are excellent at staying on top of their clients’ accounts to make sure any changes are addressed and handled quickly.

Information About Interactive Brokers’ Record

We will provide general guidance regarding a recommended course of action and the compliance services we can provide to assist the prospective client. RIA Compliance Consultants is not law firm and does not provide legal advice. Advisor Products integrates CRM, planning, performance reporting and other professional apps with a secure document vault, and streams news in videos, articles and tweets aligned with the way most fiduciaries practice. We are an advisor’s interface with clients and have been providing integrated client portals since 2007. You’ll generate leads from the integration of your website, social networks, and weekly email newsletter.