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In the current fast-paced regulatory environment, compliance professionals who advise broker-dealers, investment advisers and other securities industry firms continue to face new challenges. Recent scandals (reportedly as a result of significant compliance failures) and the avalanche of regulations that followed has placed Chief Compliance Officers squarely in the crosshairs – making it more important than ever for compliance professionals to have a means to respond to regulatory changes both quickly and efficiently.
With KeVer Consulting Group, compliance audit procedures are simplified. Our checklists are checklists of requirements, designed to ensure each element of a rule is met. Our project managers monitor the regulatory environment and keep abreast of industry concerns to provide tools that help you proactively manage compliance obligations and responsibilities to reduce compliance and regulatory risks. By selecting the KORS compliance checklists most appropriate to your firm’s business structure, you not only save time, but are able to conduct internal reviews of your firm’s compliance practices that are thorough, meaningful, and firm-specific.
Our regulatory compliance solutions can help you better define the parameters of your compliance reviews; enabling you to complete, evidence and report the results quickly, and focus your efforts and resources on prevention, detection and correction – the three most critical components of compliance.
Review your operations, trading and investment management practices for compliance with federal securities laws. Our KORS checklists for banks include the securities provisions of the Bank Secrecy Act, the Office of Foreign Asset Control (OFAC), the Office of the Comptroller of the Currency (OCC) and Regulation R, and the Securities and Exchange Commission.
KORS for Finance provides checklists of requirements for the compliance professionals who advise broker-dealers, and investment advisers at the federal and state level. Check your compliance policies and procedures, supervision and other practices against the regulatory requirements of (FINRA), the SEC and State Securities Departments.
Our insurance project managers make it easier for you to comply with the statutory requirements of various State insurance departments. Check your compliance with State insurance laws using KORS checklists of requirements for insurance to review and assess internal controls surrounding the sale and licensing of insurance products and the firm’s policies and procedures.