Compliance Consulting Services
CFM Partners delivers compliance solutions that help financial institutions implement regulations, identify next steps, and build financial programs that meet the highest standards.

Our compliance consulting services include:

Development/Review of:

Compliance Policies and Procedures

Supervisory Policies and Procedures

Review of:

Compliance Department

Supervisory Structure

Best Practices

Development of:

NASD Firm Element Plans

Plain English Guides to Compliance

Down Market Contingency Plan

Advisory Services Related to Establishing an NASD Broker-Dealer CFM's services also include:

Compliance Training

Supervisory Training

NASD Continuing Education Training

For further information about CFM or to receive a demonstration, please contact us at info@cfmpartners.com or 202-364-2380.