Written Supervisory Procedures: 

Truly customized – most advertise their WPS's as customized, but they are truly not tailored to your business and your risk profile.  Ours does not obligate you to perform unnecessary functions and finds the simplest approach to compliance.  Includes a bi-annual update.  See a WSP sample by clicking here.

Also, our manual is streamlined.  Bigger is not always better.  Don’t be tripped up by compliance procedures that you don’t even know exist because they are buried within an unwieldy manual.

Compliance Calendar:

Stay on top of your monthly, quarterly, annual requirements.  We can provide a compliance calendar that perfectly dovetails with your Written Supervisory Procedures.  The service includes e-mail reminders of required tasks.

Form BD: 

We will create and maintain your Form BD and Schedule E.

State and Federal Filings: 

We can manage your state registrations with accuracy and prompness.

B/D Startup:

INCLUDES ALL OF THE ABOVE for the initial fling.  We manage the entire process from start to finish and become the regulator’s point of contact during the registration process.

CMA/1017 Services:

We will manage the entire process and become your regulator’s point of contact during the process.

Mock Audits: 

Let us discover compliance deficiencies BEFORE the regulators find them.  We will discover them AND help you to remedy them.  We can draw upon our numerous contacts within the industry to find the most reasonable, efficient, and effective way for you to comply.

Branch Audits:

We will perform your branch audits with professionalism, sensitivity and accuracy.  We can help make the required audit process a valued and pleasurable experience for your reps.  Use our template, or your own.