Regulatory Compliance  

Regulatory Compliance

 

Compliance and Errors & Omissions Insurance

A comprehensive risk management program that includes sufficient insurance and bonding requirements is part of your compliance plan.

What are insurance underwriters looking for in an investment professional's application for errors & omissions (aka professional liability) insurance?

Download the comprehensive 33-page Guide to gain:

- Clarity to the Insurance Evaluation Process
- Specific Guidance and Roadmap to Improved Outcomes
- Risk Management Resources for your Practice

Download E&O Guide

Proactive Securities Compliance Consulting

Regulatory Compliance, LLC has been assisting broker-dealers and investment advisers with critical securities compliance responsibilities since 1989. Our team of experienced professionals -- CPAs, securities principals, financial and operations principals, investment advisers, securities attorneys, and other specialists -- provides comprehensive compliance solutions to thousands of financial services industry firms nationwide.

Comprehensive Regulatory Compliance Services

Broker-dealers and investment advisers can choose from a use comprehensive suite of compliance services from Regulatory Compliance:

- Registration and Ongoing Compliance
- CCO Outsourcing and Consulting
- FinOp, Accounting and Bookkeeping
- Exams and Testing
- General Solicitation Reviews and Testing
- Supervisory Procedures Customized and Templates
- Web CRD and IARD Filings

Trusted Regulatory Compliance Resource

Clients who take advantage of our PartnerProgram -- a package of affordable compliance services customized to a firm's specific requirements -- receive ongoing regulatory compliance support. We stay up-to-date with the latest securities regulations to provide clients with calendars, ongoing regulation updates, filing deadline reminders, and reporting requests to facilitate accurate, timely filings and peace of mind.

More Information

For questions about Regulatory Compliance and/or your Errors & Omissions Insurance, contact Paul Smith
pauls@naplia.com    1-508-656-1315