Regulators have stepped in to enforce against firms that are not appropriately protecting their customers’ information…that could be your firm. Minas IRC brings decades of regulatory, technology, and information security experience working with and within highly regulated exchanges, broker dealers, and regulated investment advisors, as well as the legal and technology providers that service them.
Global Relay provides cloud-based electronic message archiving, supervision, and eDiscovery solutions for the global financial sector and other highly regulated industries. Global Relay delivers services to over 20,000 customers in 90 countries, including 22 of the top 25 banks. Global Relay Archive supports email, IM, Bloomberg, Thomson Reuters, social media, mobile messaging and more – with mobile, Outlook and web access.
To learn more about message archiving available to you through Regulatory Compliance’s strategic alliance, please fill out our questionnaire to download our brochure and a representative will contact you.
Global Relay offers preferred pricing and additional benefits to Regulatory Compliance clients. Please complete the contact form to start the process.
CFM Partners, Inc. is a Governance, Risk and Compliance (GRC) company based in Washington, DC. Established in 1995, CFM provides comprehensive, cloud-based compliance management and education solutions to global financial services companies. Our state-of-the-art, Cloud-computing technology and high-quality, industry-specific GRC content are offered through our premier product, Access Compliance.
Regulatory Compliance, LLC offers series exam preparation and study materials through our partner, Solomon Exam Prep. Solomon Exam Prep has helped thousands of financial professionals pass their FINRA, NASAA, and MSRB licensing exams. The Solomon Exam Prep training system includes online exam simulators, print and digital training manuals, audiobooks, on-demand and live online classes, practice exam workbooks and mobile apps to address the learning needs of all kinds of test takers. Solomon Exam Prep is led by founders Karen and Jeremy Solomon, both of whom have maintained a lifelong commitment to advancing learning and education. Solomon Exam Prep draws from a pool of seasoned educators, practitioners and communicators who are experienced in both investment education and the process of adult learning.
Receive 5% off already reduced study packages. Create an account to take advantage of the additional discount from Regulatory Compliance.
Schwab Compliance Solutions
Taking ownership of compliance means staying ahead of the regulatory landscape, seeing the big picture, and maintaining control. But it doesn’t mean doing it on your own. Compliance Solutions’ employee-monitoring offer includes Schwab Designated Brokerage Services, Schwab Compliance Technologies®, and a wide range of financial products and services for employees. These solutions can help you proactively manage compliance, promote a positive employee experience, build long-term value across your business, and instill trust with clients.
North American Professional Liability Insurance Agency, LLC (NAPLIA) is the leading independent agency in the country specializing in professional insurance products for Financial Professionals.
To learn more about benefits and insurance available to you through Regulatory Compliance’s strategic alliance, please fill out our questionnaire.
Smarsh® delivers cloud-based archiving solutions for the information-driven enterprise. Its centralized platform provides a unified compliance and e-discovery workflow across the entire range of digital communications, including email, public and enterprise social media, websites, instant messaging and mobile messaging. Founded in 2001, Smarsh helps more than 20,000 organizations meet regulatory compliance, e-discovery and record retention requirements. The company is headquartered in Portland, Oregon, with offices in New York City, Atlanta, Boston, Los Angeles and London.
To learn more about Smarsh’s platform, download the brochure.
Smarsh offers preferred pricing and additional benefits to Regulatory Compliance clients. Please complete the contact form to start the process.
The Angell Pension Group offers advisory services that integrate the administration of retirement plans and Section 125 administration. Our service model is not only comprehensive and cost-efficient, but also carefully integrated with all your benefit programs to ensure a seamless operation.
Complete our questionnaire to learn more about programs offered through Regulatory Compliance.
Regulatory Compliance clients are also taking increased advantage of our bookkeeping and accounting services. Working with Regulatory Compliance allows our clients the direct cost-advantage benefits of Analytix Solutions. Regulatory Compliance and Analytix Solutions have partnered to offer our clients a comprehensive accounting package. As a leading professional services firm providing virtual accounting and bookkeeping services to small to mid-size companies, Analytics Solutions can help cost-effectively manage a firm’s bookkeeping.