A VIGOROUS COMPLIANCE PROGRAM IS AN ESSENTIAL ELEMENT OF A FIRM’S OVERALL INFRASTRUCTURE

Regulatory requirements have taken center stage across the financial services industry, straining the resources of firms as they attempt to comply with a regulatory landscape that seems to be constantly evolving.

Our team combines hands-on experience with a robust technology platform to produce customizable compliance solutions and serve as your complete outsourced compliance resource.

AREAS OF EMPHASIS

COMPLIANCE PROGRAM

— In line with the requirements of securities regulators, we customize a solution for your particular needs. Our team continuously analyzes securities regulations and how they directly apply to your business and develops a tailored compliance program to satisfy regulators and ensure your firm remains current in its compliance obligations.

ANNUAL REVIEWS

— Since regulators look favorably upon a thorough review process conducted by experienced, independent professionals, our team of experts eliminates the worry for you with a comprehensive review service that covers all necessary areas of the firm and its compliance program.

SURVEILLANCE & MONITORING

— Regular monitoring of your firm’s compliance policies and procedures is crucial to maintaining a strong and robust compliance program. We believe a shifting regulatory landscape demands a dynamic approach to keep you ahead of the curve.­­

CONTACT:

Irwin Menken | 646-334-1245 | irwin@commfi.com