Operations Consulting

Cobia Compliance is able to provide experienced and focused Operations professionals to support your critical business activities. Our team is able to provide high-level strategic consulting, as well as "hands-on" help with handling detailed tactical issues.

Among the many services available, Cobia Compliance is able to assist with:

  • Clearing firm evaluation, negotiation and conversions
  •  Process improvement and/or re-engineering
  • Managing and raising quality of services
  • Operations best practices.

Transitions and Business Closures

Whether your business is in a growth mode and you are adding employees or are in the process of winding down your business, there are a number of regulatory considerations. Cobia can help make sure you've made adequate provisions for the following:

  • Recordkeeping
  • Electronic Storage
  • Performance Reporting Portability
  • Product Due Diligence
  • Facilities Management
  • Clearing Firm Platform Training
  • Contract Terminations

 

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