The financial services industry has seen a marked increase in regulatory enforcement actions over recent years, necessitating many companies to seek additional compliance assistance to manage their growing compliance responsibilities in this demanding regulatory climate.

We help you save time and resources by reducing the need for full-time staff, ensuring adherence to regulatory standards and updates. Our compliance consulting services can enhance your operational efficiency, allowing you and your team flexibility to focus on other areas with confidence that there is expert support where you need it.

Integrity Advantages

  • Extensive Industry Experience

    25 Years of Compliance Expertise: Leveraging decades of accumulated knowledge and experience.

    Unique Skill Set

    Compliance, Marketing and Client Service Experience: A rare combination enriched with a thorough understanding of Broker-Dealer and Investment Advisory regulations.

    Licensed Professionals

    Industry Licenses: Holding essential licenses, including SEI (S7), S24, S4, and S63.

  • Communication Expertise

    Communications with the Public (CWTP): Specializing in advertising review, social media, off-channel communications, and emerging digital platforms.

    Regulatory Knowledge

    Best Practices: Access to the latest knowledge and best practices in regulatory compliance.

    Advanced Technology

    Tech and Tools: Utilizing advanced technology, tools, and resources to enhance compliance capabilities.

  • Cost Efficiency

    Affordable Solutions: More cost-effective compared to hiring and maintaining an in-house compliance team.

    Adaptability

    Quick Adaptation: Ability to rapidly adapt to evolving business and regulatory demands.

    Independent Oversight

    Accountability: Providing an additional layer of independent oversight and accountability, helping to ensure compliance with regulatory requirements and ethical standards.

Our Services

Advertising/Marketing Review

Deep knowledge of Communications with the Public Regulation including FINRA 2210, social media and off-channel communication requirements and training.

Compliance Reviews and Audits

Conducting periodic compliance reviews and audits to assess the effectiveness of existing compliance programs. Identifying areas of non-compliance or weakness and recommending corrective actions.

Compliance Program Development

Assisting in the development, implementation, and enhancement of comprehensive compliance programs tailored to the specific needs and regulatory requirements of broker/dealers and RIAs.

Policies and Procedures Development

Drafting, reviewing, and updating compliance policies and procedures. Ensuring policies align with current regulatory requirements and industry best practices.

Regulatory Filings and Reporting

Preparing and filing regulatory reports and disclosures required by regulatory authorities, such as Form ADV for RIAs or Form BD for broker/dealers.

CEO Certification (FINRA 3130)

Assist firm in process of preparing annual CEO certification and report to Board of Directors certifying the firm has in place processes to establish, maintain, review, test, and modify policies and procedures reasonably designed to achieve compliance with applicable securities laws, regulations, and FINRA rules.