Adding a new line of business? Have a special project but not adequate time or staffing to put all the pieces into place? Allow Cobia’s resources to set you on the path to success.

Whether you are expanding to offer a new line of financial products or are expanding your business’ footprint, Cobia can help ensure that you don’t miss any steps along the way. Let our experienced staff help you evaluate your new business venture and assist you with the implementation of processes and procedures.

For special projects we offer set pricing or competitive hourly pricing. Pricing for each project is discussed and agreed upon to make sure you get the most for your investment.

 

In 2006, the SEC approved amendments to the Anti-Money Laundering (AML) Compliance Program Rule first passed in 2001 and to FINRA Rule 3011 requiring firms to conduct independent testing of their AML compliance programs on an annual (calendar year) basis.  Cobia's associates have served as AML officers in firms ranging from small independent shops to large international operations. Call Cobia today to schedule your next AML audit or to discuss your AML needs.

Cobia offers a turn-key option to ensure your firm is in compliance with the requirements of FINRA Rule 2821 and the SEC approved amendments which become effective February 8, 2010. Cobia's program combines all four elements covering suitability and disclosure, principal review and approval, written supervisory procedures, and training.