Our compliance consulting services include:
Development/Review of:
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Compliance Policies and Procedures |
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Supervisory Policies and Procedures |
Review of:
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Compliance Department |
|
Supervisory Structure |
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Best Practices |
Development of:
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FINRA Firm Element Plans |
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Plain English Guides to Compliance |
|
Down Market Contingency Plan |
Our advisory services related to establishing a FINRA Broker-Dealer include:
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Compliance Training |
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Supervisory Training |
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FINRA Continuing Education Training |
For further information about CFM or to receive a demonstration, please contact us at info@cfmpartners.com or 202-364-2380.