About Cobia

Cobia Compliance specializes in providing comprehensive compliance services to broker-dealers, investment advisers, and hedge funds. Our goal is to get to know you, your personnel, and most importantly, your firm so that we can provide customized compliance solutions rather than boiler-plate templates that leave you wondering as to the next step to take.

Our commitment is to be more than just another consultant. Cobia wants to partner with you to educate and train your existing staff so that they are able to carry on their compliance responsibilities with confidence.

News

Industry Links

By clicking on any of the links below, users will be navigating to websites controlled entities other than Cobia Compliance. These links are provided for the convenience of the user and do not imply any association or endorsement of the listed websites.

Securities Exchange Commission
FINRA
NASAA
Investment Company Institute (ICI)

The Cobia Team

The Cobia Team is comprised of professionals who offer over 75 years of combined experience across the financial services industry, Their backgrounds include legal, banking, trust, brokerage, insurance, regulatory, and investment advisory. To learn more about us click here.


Our Services

  • Mock SEC and FINRA Examinations
  • SEC/FINRA Examination Assistance
  • Investment Advisory Annual Reviews
  • Code of Ethics
  • Hedge Fund Registration and Compliance
  • Independent Anti-Money Laundering Reviews
  • Product and Vendor Due Diligence
  • Variable Annuity Suitability Review
  • Licensing and Registration Services
  • Business Continuity Plans
  • Policies and Procedures
  • Written Supervisory Procedures
  • 3012 Annual NASD Reports
  • Privacy Policy
  • Branch Office Audits
  • Church Bond Financing Compliance
  • Other Services