Broker Dealer

Broker dealers are navigating through a challenging and ever-changing regulatory landscape. Whether it’s the implementation of new regulations or assessing the regulatory impact of implementing a growth strategy for your business, we are your trusted partner that will help you navigate the challenges these represent.

We can customize a value proposition for you, whether it is for technical support, such as drafting, reviewing, editing Written Supervisory Procedures, Product Programs, Supervisory Programs and Procedures, Evaluating Supervisory Tools (technology), developing Anti-money Laundering Programs and Procedures. We can also assist you in more strategic initiatives such as Enterprise Risk Management Programs, performance of regulatory exams and audits, development of Efficient Organizational Structures, Providing Expertise and Resources for Remediations to Creating and Managing Compliance Programs, whether as an independent consultant or as your Chief Compliance Officer. Regardless of the project, its breadth and scope CIMA Financial Regulation Consultants has the expertise to support you and become your trusted partner.