Need a trusted resource to be available when you need them? Cobia’s continuous service model provides you with “on call” support whatever the need.

Cobia’s continuous service model is designed to give your firm access to qualified professionals when you need them, as well as providing you and your staff with continuous regulatory updates to ensure that you don’t miss changes in the laws or regulations that affect your business.

For a fixed monthly or quarterly fee, your firm will have access to a Cobia associate to answer questions, to assist with Form BD or ADV updates, to provide guidance on new regulations, as well as a number of other ongoing services.

Making sure that your policies and procedures meet all the latest SEC and FINRA requirements can be a daunting task. Cobia's professionals have experience in writing both broker-dealer written supervisory procedures and investment advisory compliance manuals. 

Cobia will assist you in drafting new procedures or review your existing ones. We don't offer template manuals but if you've already purchased a template solution, we'll assist in customizing it to fit your business.

One of the most often cited exam deficiencies is in the area of advertising/marketing. Ensuring adequate disclosure is the key to avoiding both regulatory and legal liability. Whether you need assistance with reviewing a website, marketing brochures, client proposals or other marketing materials, Cobia can help.