COMPLIANCE SOFTWARE
MasterSupervision is our proprietary automated compliance management system that streamlines the process of compliance that will empower your firm to define and implement an effective compliance program.TRAINING
MasterTracking is our product offering that provides our clients with videos related to several targeted compliance topics. Clients have the ability to select any number of videos within our libraries and are able to utilize a custom training portal that is for exclusive use of the targeted audience. We also offer firms assistance with the development of their annual Needs Analysis and Training Plan and Annual Compliance Meeting.BROKER/DEALER CONSULTING
We have assembled a team of regulatory, compliance, and operations experts that work together to bring several decades of combined experience and points of view for our clients that may be applied to providing support for all types of regulatory matters as well as routine and difficult compliance related questions.START A BROKER/DEALER
Broker/dealer start-ups require an intense amount of effort and personnel. Our goal is to provide best in class services based on each client’s needs and help you reach your final goal in accordance with your budget. As our experts have set up numerous broker/dealers, our team can expedite the start-up process for you.BUY OR SELL A BROKER/DEALER
Purchasing or selling a broker/dealer can be accomplished through various purchase/sale structures custom tailored to specific situations. One advantage to purchasing/selling a broker/dealer is often times the deal can be closed in a very short time.CHANGES IN MEMBERSHIP FOR A BROKER/DEALER
Material changes to a broker/dealer’s business activities, including adding additional reps or branches beyond the safe harbor provisions, or changes in your ownership structure may require the firm to file an application (CMA) with FINRA pursuant to Rule 1017. We offer experienced personnel to assist in preparing these filings and acting as the liaison with FINRA staff during the approval process.FINOP SERVICES
We have a team of experienced Consultants able to act as your firm’s FinOp on an interim or permanent basis. Our Consultants have experience with a large number of firms that range in services, from retail, institutional, to investment banking only.