Been in the business for years but not sure your firm has kept up to date in this fast-changing regulatory environment?  Let us help you assess whether or not you have any current needs.

Today’s regulatory landscape is ever-changing. Whether as a result of the large number of new alternative products coming into the market or as the result of the latest scandal, it’s nearly impossible to keep track of every new SEC speech and congressional mandate. 

At Cobia Compliance, it’s our primary job to make sure we are on top of the latest changes that affect your business. Let us conduct an assessment of your current business practices and make recommendations as to whether your policies, procedures and compliance processes are up to date.

FINRA Rule 3010 sets out the requirements for supervision, including the requirements for review of branch offices. Cobia realizes that there are times when limited resources make it difficult to be in all the places you need to be. Cobia's compliance team has participated in conducting numerous branch audits and stands ready to assist you. We will provide an onsite team wherever your offices may be located, conduct an in-depth review of the branch's processes and procedures and provide you with a written report of our findings, as well as recommendations for improvement.

Still trying to figure out how to conduct the annual review of your investment advisery firm and wondering what type of documentation you should have to evidence your review?

You can elect to have Cobia to conduct your annual review or allow us to work with your staff to establish a compliance calendar and train them to conduct the review themselves.  Contact us today to get started.