Regardless of the size or nature of an investment firm, it is difficult to manage the magnitude of new rules and regulations that are being introduced at an unprecedented pace. The impact of reduced investor confidence has been increased regulation, tenacious regulators and severe penalties. Lack of attention to the compliance basics is more costly than ever before.
For broker dealers and investment advisers alike, a sound business approach requires an impartial supervisory review and/or a mock compliance audit of the firm’s standard operating procedures. Are your firm’s compliance policies and supervisory procedures resilient? Are your firm’s policies and procedures effective and consistent? Are your policies and procedures based on a solid understanding of your firm's unique risks?
Encore Group provides you with an expert compliance overview to identify regulatory and business risk—before the risks identify you.
Specifically, Encore can deliver:
- Impartial and objective compliance program reviews and mock audits
- Thorough risk assessment exercise and documentation unique to your firm's business offerings
- Prompt identification of potential regulatory issues
- Proficient solutions based on current best practices, tailored to your business
- Flexible supervisory staff development and coaching for any number of critical functions to meet your firm’s unique needs quickly
- A responsive resource for regulatory and operational issues that impact broker dealers and investment advisers, including those associated with banking organizations
- Analysis of brokerage and investment adviser compliance policies and procedures
- Development and delivery of continuing education sessions