WHAT WE PROVIDE ONGOING
iComply offers expert compliance consulting services. We deliver results that matter through ongoing support, assistance during regulatory examinations, testing, and financial and accounting services. iComply performs independent tests of firms’ anti-money laundering compliance programs and internal supervisory controls. Our services support compliance with SEC, FINRA, MSRB, NFA, SRO and state securities laws.
Targeted Risk-Based Examination +
In preparation for your next regulatory examination, iComply will conduct a targeted review of specified business areas and provide recommendations to enhance your compliance program.
Policies and Procedures Updates +
Procedures Manuals are the most integral part of a firm’s compliance program. iComply will assist your firm develop, amend, and implement a supervisory system that is tailored specifically to your business structure and compliance needs including the Written Supervisory Procedures, Anti-Money Laundering Procedures, Business Continuity Plan and Continuing Education Program with Needs Analysis.
Registrations, Licensing and Electronic Filings +
iComply will serve as your FINRA Firm Gateway Administrator within the Central Registration Depository (CRD) system or assist your administrator with the maintenance of form filings including the Forms BD, BR, U4 and U5; monitor continuing education regulatory requirements; submission of required MSRB filings; perform the FINRA Contact System annual review and assist with associated persons state registrations.
Disclosures, Attestations and
Regulation Best Interest (Reg BI) +
Regulation Best Interest (Reg BI) +
We craft intuitive forms to be completed by your firm’s associated persons to alert the compliance team of participation in, or subjection to a customer complaint; arbitration or litigation; disclosure or amendment to form filings; outside business activities; outside brokerage accounts; and private securities transactions. iComply will draft Form CRS which enhances investor protection to retail investors as prescribed by the SEC.
Business Continuity Preparation +
iComply will assist your firm with drafting a business continuity plan that will meet all regulatory requirements.
Cybersecurity Controls +
iComply will assist your firm develop risk assessments to serve as foundational tools to identify relevant risks of your firm’s business activities.
New Membership Application (NMA) and
Continuing Membership Application (CMA) +
Continuing Membership Application (CMA) +
iComply will assist your firm become a new FINRA member or add to your most recent membership agreement. We will complete the membership application; act as liaison with the regulatory department; ensure the application meets Rule 1014 standards; and review the new membership agreement for accuracy and completeness.
Liaison with Industry Regulators +
iComply has experience with on-site examinations and will assist with preparation for and management of the entire examination process. We will assist with all responses to regulatory inquiries and ensure that they are accurate and complete.
Ongoing Compliance Support +
iComply will be an integral part of your compliance team and assist your firm with both routine and complex issues. This support will be fully customizable and tailored to the specific need of your firm.