Compliance Advisers

New Year, New Rules

Karen — Wed, 01 Feb 2012 21:24:38 +0000

It’s 2012, and as always, the world of compliance is changing. Keeping up with the moving targets in the securities industry is our specialty. With everything from Dodd-Frank to an upcoming Presidential Election, there is much to keep focused on in this field.

As you do your best to advise your clients and manage funds, we want to help you by providing real people with over 20 years of providing customized compliance solutions and a staff dedicated to offering professional, expert support. It’s beautifully simple. Industry compliance requires sound judgement and an in-depth understanding of the rules and regulations that govern it. One size can never fit all. The outstanding professionals at Compliance Advisers know that expert knowledge combined with best execution far out-last flash in the pan solutions.

Compliance Advisers is a company based on the standard of building a relationship, understanding that success breeds success. If our clients are successful, so are we. So you are our best asset. Your best practices will ensure that you stay in business a long time. We are here to help you do that.

We only accept clients who are committed to developing a healthy compliance environment. If this is you, we are committed to providing you with our best every time. We look forward to developing a long-standing relationship with your firm by being your premier “go-to” customized compliance solution provider.

Let’s get started. Please contact us today at:

303-795-0400 Phone
303-645-4507 Fax
info@complianceadvisers.com

4600 South Ulster Street, Suite 560
Denver, CO 80237

Custom Package

Karen — Tue, 15 Mar 2011 20:45:08 +0000

Includes incorporating information extracted from your current Part II/Schedule F into the new format required by the Rule amendment in addition to the development of expanded and supplemental information derived from your responses on the CAI Part 2 Questionnaire to create a new brochure that meets the requirements of the new Rule. Final copy provided +
Work directly with professional designers to encorporate your branding with this brochure that your customers will see. Make this disclosure document a marketing piece.

Semi-Custom Package

Karen — Tue, 15 Mar 2011 20:44:26 +0000

Includes incorporating information extracted from your current Part II/Schedule F into the new format required by the Rule amendment in addition to the development of expanded and supplemental information derived from your responses on the CAI Part 2 Questionnaire to create a new brochure that meets the requirements of the new Rule. Final copy provided in a format that can be uploaded to the IARD.
+
Choose from 5 professionally designed templates with your logo and color scheme.

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Basic Package

Karen — Tue, 15 Mar 2011 20:43:38 +0000

Customized Compliance Solutions

Karen — Tue, 07 Sep 2010 20:11:49 +0000

Compliance Advisers has been offering customized compliance solutions to the securities industry for more than twenty years. We are proud of our past successes, and will continue to strive for the same success into the future.

When we began as a small one-person firm, integrity and trust were the keys to our future success. We were right. Today we still believe in these values, and practice them on every project. These beliefs have made our firm an industry leader in providing customized compliance solutions for our customers.

We service small to medium sized clients throughout the United States and only highly qualified consultants serve them.

Click here to inquire or call us today at (303) 795-0400 for a service quote customized specifically for your business needs and budget.

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Important Dates for Regulatory Compliance

Karen — Tue, 07 Sep 2010 20:10:15 +0000

July 31 – Filing Date

December 31 – End of Fiscal Year (as defined by the SEC)

February 14 – Quit Smoking Day

Client Downloads

Karen — Tue, 07 Sep 2010 20:08:25 +0000

Here is your download information formatted for you to send directly to FINRA.

File

Compliance Advisers tries to go above and beyond what standardized compliance companies by providing everything you need for your filing to make sure you don’t run into trouble (or if something gets kicked back, we’ll be there to help return the volley). So, in addition to providing necessary things with your filings, we’ve included some frequently used forms, ordering sites, and format options as well as helpful links:

FINRA Website

SEC Website

Fingerprint Order Form

Compliance Advisers credentials information download

Legal Requirements

Focus Report Filing

Karen — Tue, 07 Sep 2010 20:03:57 +0000

Your company must file quarterly reports called Focus Reports. Restrictions and requirements differ between Investment Advisers and Broker/Dealers. This counts as 1 hour of education if you complete this test:

Link to test.

New FINRA Regulation

Karen — Tue, 07 Sep 2010 20:01:41 +0000

Keep your eyes open for regulatory reform in 2011 when FINRA will require new information from all Broker/Dealers. You must keep this up to date with a registered License Holder.

Contact

Karen — Wed, 10 Feb 2010 06:17:30 +0000

Get in touch with Compliance Advisers today
303-795-0400 Phone
303-648-4849 Fax

You can also reach Karen Steighner directly
303-919-4264

4600 South Ulster Street, Suite 560
Denver, CO 80237

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