By Karen A. Steighner, MBA
In spite of the seemingly never-ending stream of new regulation in the financial services industry, failure to be aware of heightened regulatory concern and not developing an effective Cyber Security program is particularly problematic for broker dealers, advisers and other securities market participants. The consequences of not doing so not only leave the firm particularly vulnerable to the devastating effects of a cyber attack, but also to a regulatory violation—twice the trouble. Dealing with the expansive and expensive damage resulting from a cyber attack is two-fold and substantially more onerous than actually developing and implementing an effective plan.
Continue reading Cyber Security—“Trouble Times Two” for Securities Industry Firms
We are excited to announce that our CEO, Karen Steighner, is a member of Women in Compliance.
Compliance Advisers conducts full, comprehensive Cybersecurity Risk Assessments to help Firms identify and analyze potential dangers or risks to its business that could arise through its information technology systems.
Register your Investment Adviser today and get started
Understanding the unique accounting requirements of a broker dealer is extremely important to maintaining the continued good health of your firm’s compliance program. Compliance Advisers can help you meet the special accounting needs and challenges of securities firms through one of our customized financial compliance solutions
- Registered Investment Advisor Services
- Investment Advisor Registration
- Compliance Manuals
- Compliance Consulting
- Completion or review of Form ADV
- Completion or review of Advisory Contracts
- Annual Renewal of the Form ADV
- Notice Filings
- Mock IA Compliance Exam
- Web IARD/CRD Services
- Written Supervisory Procedures Manual – Customized
- Written Supervisory Procedures Manual annual updates
- State Registration Applications
- General Compliance Consulting
Registered Investment Advisor SEC and State Registration Services:
Compliance Advisers will expertly and efficiently manage the full registration of your Registered Investment Advisor whether SEC or state registered.
Compliance Advisers also provides ongoing customized compliance solutions as you begin to operate your newly-approved registered investment adviser.
Broker-dealer Written Supervisory Procedures (WSP) Manual- Your Supervisory Procedures Manual is customized to fit your broker/dealer
Be a part of a great company with great opportunities. Compliance Advisers is always on the lookout for driven, qualified people who seek new opportunities in the securities industry. Please stay posted for new and upcoming openings with Compliance Advisers. Thank you for your interest.
The most comprehensive, all-inclusive registration package offered in the industry…we specialize in managing the entire process for you.
New Broker/Dealer Registration-The expert staff at Compliance Advisers assists its clients through each step of the application process–from developing your customized Business Plan according to FINRA guidelines & unique to your business