Products & Resources Offered
Compliance 911 Solutions offers a multifaceted program that provides key compliance services bundled together at a convenient flat monthly rate.
Compliance 911 Solutions can serve as your compliance and registration back-office. The support and expertise of trained C911 compliance specialists is available to address ongoing issues and be your resource for questions and concerns. We will partner with your firm to help keep you compliant, and current with your regulatory requirements on an ongoing, automated basis.
The Standard Services Package seeks to meet the core compliance responsibilities of your firm:
Customize your Standard Services Package with these Enhanced Services:
All Services mentioned are available ala carte!
Compliance 911 Solutions offers a multifaceted program that provides key compliance services bundled together at a convenient flat monthly rate.
Compliance 911 Solutions can serve as your compliance and registration back-office. The support and expertise of trained C911 compliance specialists is available to address ongoing issues and be your resource for questions and concerns. We will partner with your firm to help keep you compliant, and current with your regulatory requirements on an ongoing, automated basis.
The Standard Services Package seeks to meet the core compliance responsibilities of your firm:
- Written Sales and Supervisory Procedures Manual
- Compliance Calendars
- Training Plan Creations, Monitoring and Tracking
- Anti-Money Laundering Procedures
- FINRA Gateway Monitoring and Filing Services
- Firm's Form Creation and Filing (BD, BR, ADV, CRS, etc.)
- Onboarding Services for Supervised Persons (U4s, U5s)
- Business Continuity and Disaster Recovery Programs
- State Registration Application Filings
Customize your Standard Services Package with these Enhanced Services:
- Annual Renewal of Firm and Rep Registrations
- Anti-Money Laundering Examinations
- Advertising and Communications Review
- Compliance Correspondence
- FINRA Disciplinary Disclosures
- Customer Complaints Review and Reporting
- Annual Compliance Meetings
- Branch and Home Office OSJ Compliance Examinations
- Supervisory Control System Reviews
- Annual Reviews and Risk Assessments
- Hourly Retainer Consulting Services
All Services mentioned are available ala carte!