Heightened regulatory scrutiny and numerous new regulations have resulted in compliance burdens that can be overwhelming to firms of all sizes. Broker-dealers are faced with amplified risks and increased costs. Hiring qualified personnel is one solution, but staffing is costly and can yield uncertain results.
The ComplianceMAX system offers a compelling solution to this problem. Our ComplianceMAX ResourcesPLUS™ program provides a step-by-step compliance framework that is structured and systematic, a program designed to get your firm on the path to compliance and help keep you there. Improve compliance at your firm without adding staff: use ResourcesPLUS™ as the foundation of your compliance program.
Our compliance professionals monitor regulation, interpret SEC and NASD rules, and determine the most appropriate actions your firm should take to stay in compliance. Each month we provide you with a series of regulatory tasks that take you step-by-step through our program. In addition, we work on your behalf from behind the scenes to monitor your registration and licensing. To make certain the program is tailored to your specific needs, ComplianceMAX ResourcesPLUS™ includes up to one hour monthly of consulting services. ResourcesPLUS™ clients have an open line of communication with our experienced compliance specialists and have preferred status at special ComplianceMAX events, such as our "web-seminar" training series. ComplianceMAX ResourcesPLUS™ clients have all the depth and experience of a world class compliance staff at their fingertips.
ComplianceMAX ResourcesPLUS™ is designed to be affordable to even the smallest firms without compromising quality.
ComplianceMAX ResourcesPLUS™ includes:
- Registration and licensing services (renewals and amendments)
- Up to one hour of professional compliance consulting per month
- Monthly Compliance Checklist
- Consultation services, reviews and periodic reports
- Monthly web seminar