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Address:
6977 Navajo Road, Suite 134
San Diego, CA 92119 |
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Phone:
(619) 466-0015 |
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Fax:
(619) 393-0174 |
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| Products & Services |
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Compliance 911 Solutions offers a multifaceted program that provides key compliance services bundled together at a convenient flat monthly rate.
Compliance 911 Solutions can be your compliance back-office. The support and expertise of trained compliance specialists is available to address ongoing issues, be your resource for questions and concerns, and partner with your firm to help keep your broker dealer compliant. As your compliance partners, we can be your solution to meeting deadlines and completing regulatory requirements on a regular ongoing, automated basis.
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The Standard Services Package seeks to meet the core compliance responsibilities of a Broker Dealer:
- Written Supervisory Procedures Manual
- Training Plan
- Anti-Money Laundering Procedures Updates
- Web CRD Services
- Regulatory Element
- Firm Element Training, Monitoring and Tracking
- Compliance Announcements
- Annual Compliance Certification
Customize your Standard Services Package with these Enhanced Services:
- Annual Renewal of Broker Dealer and Rep Registrations
- Anti-Money Laundering Audit
- Advertising Review
- Compliance Correspondence
- Fidelity Bond Renewal Reminder
- FINRA Disciplinary Disclosures
- Customer Complaints Review and Reporting
- Annual Compliance Meeting Template
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