Address

Cobia Compliance, LLC
P.O. Box 2955
Cypress, TX  77410
713.481.1884

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