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| Resources™: Improved compliance platform. |
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San Diego, CA—ComplianceMAX Financial Corporation, a leader in regulatory compliance systems unveils a new version of Resources™, its popular compliance program for small firms at FPA San Diego 2005. Offered through a web-based compliance workstation, Resources™ leverages the power of technology to bring small firms practical and affordable answers to today's regulatory challenges.
The new and improved Resources™ program provides a practical, systematic approach to addressing SEC Rule 206(4)-7, which requires Investment Advisers to name a Chief Compliance Officer, implement a "Compliance Program" and perform periodic internal tests of its compliance controls.
"Resources™ reflects ComplianceMAX's commitment to present effective, uncompromising compliance solutions to regulated firms," says Lisa Roth, President and COO of ComplianceMAX. She adds, "By leveraging technology, we're able to scale our monthly compliance service to achieve a price point that is manageable for almost any sized firm. We haven't lost any of the personal elements of our program as we continue to provide expert consulting to augment the service; however the technology has allowed us to focus our staff on high-value service tasks while letting the technology do the legwork."
Resources™ is the product of years of research, analysis and practical application of compliance methodologies and participation with clients in NASD and SEC examination programs. Currently over 140 small firms subscribe to Resources™ and over 200 firms nationwide rely on ComplianceMAX as the backbone of their compliance program.
About ComplianceMAX Financial Corporation
ComplianceMAX Financial provides innovative, cost-effective regulatory compliance services and technologies to Investment Advisers, Broker-Dealers and Hedge Funds.
ComplianceMAX provides a full range of technology enabled products and services including audits, forms management, automated surveillance, licensing/registration services, and customized training. Customers range in size from one person offices to national firms with thousands of branch offices. ComplianceMAX provides scaleable levels of service ranging from specialized products to comprehensive outsourced compliance programs.
September 1st, 2005
For additional information contact Mitchell Porche, Executive Vice President, at 619-283-3550 x-23 or mitchporche@compliancemax.com. |
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