Minimize regulatory and legal actions, while promoting sound business practices
You feel pressure from all directions as you balance the needs of your firm with the demands of the regulatory authorities. We recognize the decisions you make are crucial and we are equally concerned about the issues that are important to you.
You might be asking yourself: “How can I better maintain compliance with ever-changing rules?”
Risk management – You want to keep your firm out of expensive, time-consuming legal and regulatory hot water. However, interpreting and adopting new regulations that are untested, vague and ambiguous can be challenging. It may also be hard to interpret your clearing firm reports. And knowing how to find relevant, useful information in these reports can be nearly impossible.
You might be asking yourself: “How can I improve the effectiveness of our supervision measures?”
Supervision – You want to make certain everyone observes firm procedures and policies. Supervising a geographically disbursed sales force can raise both communications and logistical problems.
You might be asking yourself: “How can I protect our firm and support our revenue goals?”
Partnership with producers – You do not want to be a barrier to your firm’s prosperity. Yet the goals of sales and compliance may often conflict. Creative solutions may not be apparent.